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 District Office|    146|801-39509|ADVANTAGE CAPITAL CORPORATION|ADVANTAGE CAPITAL CORPORATION|2300 WINDY RIDGE PARKWAY,|SUITE 1100|ATLANTA GA 30339|USA|||  ||STEPHEN LYNN PRESTON|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), Selection of other advisers|APPROVED|11/04/1991|0|10|2|0|0|0
Atlanta District Office|    791|801-60617|STERNE AGEE & LEACH, INC. CAPITAL MANAGEMENT|STERNE, AGEE & LEACH, INC.|800 SHADES CREEK PARKWAY|SUITE 700|BIRMINGHAM AL 35209|USA|||  ||CAROL S. KENNEDY|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), Pension consulting services, Selection of other advisers|APPROVED|10/05/2001|0|12|0|0|0|0
Atlanta District Office|   1329|801-57243|SMITH, BROWN & GROOVER, INC.|SMITH, BROWN & GROOVER, INC.|4001 VINEVILLE AVE||MACON GA 31210-5039|USA|||  ||JOAN E HUNDERTMARK|478-474-7004|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/23/2000|0|16|0|0|0|0
Atlanta District 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 District 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 District Office|   3711|801-8754|WATERS PARKERSON & CO INC.|WATERS, PARKERSON & CO INC.|SUITE #512|228 ST. CHARLES AVENUE|NEW ORLEANS LA 70130-2682|USA|||  ||CASAMENTO, STEPHEN J|(504) 581-2022|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|06/29/1972|0|0|0|0|0|0
Atlanta District 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 District Office|   4161|801-19665|MORGAN KEEGAN & COMPANY, INC.|MORGAN KEEGAN & COMPANY, INC.|50 FRONT STREET||MEMPHIS TN 38103-9880|USA|||  ||HUGHES, JR., WILLIAM FREIRSON|901-579-5453|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|09/09/1983|0|6|0|0|0|0
Atlanta District Office|   6271|801-17212|SUNTRUST CAPITAL MARKETS, INC.|SUNTRUST CAPITAL MARKETS, INC.|303 PEACHTREE CENTER AVE|24TH FLOOR|ATLANTA GA 30303|USA|303 PEACHTREE STREET NE|24TH FLOOR|ATLANTA GA 30308|USA|TOM KICAK|404-813-0837|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/04/1982|0|13|0|0|0|0
Atlanta District Office|   7461|801-42017|FSC SECURITIES CORPORATION|FSC SECURITIES CORPORATION|2300 WINDY RIDGE PKWY, STE 1100||ATLANTA GA 30339|USA|||  ||STEPHEN LYNN PRESTON|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), Selection of other advisers|APPROVED|08/03/1992|0|9|2|0|0|0
Atlanta District 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 District Office|  13787|801-47970|UVEST FINANCIAL SERVICES GROUP, INC.|UVEST FINANCIAL SERVICES GROUP, INC.|200 S. COLLEGE STREET|21ST FLOOR|CHARLOTTE NC 28202|USA|||  ||PATRICK HOMAN|704-916-6314|Corporation|Financial planning services, 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|6|0|0|0|0
Atlanta District Office|  14023|801-19690|SYNOVUS SECURITIES, INC.|SYNOVUS SECURITIES, INC.|1234 1ST AVE||COLUMBUS GA 31901|USA|P.O. BOX 2628||COLUMBUS GA 31902-2628|USA|BURNS, BETH|706-649-2458|Corporation|Financial planning 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|12|1|0|0|0
Atlanta District 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|DAVID L. TIMMONS|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 District Office|  16361|801-53144|BANC OF AMERICA INVESTMENT SERVICES, INC.|BANC OF AMERICA INVESTMENT SERVICES, INC.|101 S. TRYON STREET, 33RD FLOOR|NC1-002-33-31|CHARLOTTE NC 28255|USA|||  ||SUSAN J. HECHTLINGER|704-388-7933|Corporation|Financial planning services, 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|43|58|3|0|0|0
Atlanta District 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, Selection of other advisers|APPROVED|05/17/2004|0|5|1|0|0|0
Atlanta District 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|ROXANNE MORRIS|404-813-5228|Corporation|Financial planning services, Portfolio management 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, Security ratings or pricing services, Other|APPROVED|05/05/1999|0|16|0|0|0|0
Atlanta District Office|  17575|801-44465|TAYLOR SECURITIES, INC.|TAYLOR SECURITIES, INC.|100 WINNERS CIRCLE|SUITE 100|BRENTWOOD TN 37027|USA|||  ||BARBARA TOMPKINS|615-373-4111|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|07/30/1993|0|0|0|0|0|0
Atlanta District 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|0|1|0|0|0
Atlanta District 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|KENDRA CAIN|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 District Office|  19396|801-41081|WILMINGTON TRUST INVESTMENT MANAGEMENT|WILMINGTON TRUST INVESTMENT MANAGEMENT LLC|THE PINNACLE, 20TH FLOOR|3455 PEACHTREE STREET, NE|ATLANTA GA 30326-3248|USA|||  ||JEFFREY P. ADAMS|(404)760-2100|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|03/24/1992|0|1|0|0|0|0
Atlanta District Office|  25536|801-66163|AMERICAN WEALTH MANAGEMENT, INC.|AMERICAN WEALTH MANAGEMENT, INC.|3495 PIEDMONT RD, BLDG. 12|SUITE 100|ATLANTA GA 30305|USA|||  ||JEROME A BORZELLO|4042622719|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|01/30/2006|0|0|0|0|0|0
Atlanta District Office|  25700|801-65811|HARBOR FINANCIAL SERVICES, LLC|HARBOR FINANCIAL SERVICES, LLC|1555 UNIVERSITY BLVD SOUTH|SUITE B|MOBILE AL 36609|USA|||  ||WENDY COUNTRYMAN|251-650-0840|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|6|0|0|0|0
Atlanta District Office|  25803|801-55518|TRIAD ADVISORS, INC.|TRIAD ADVISORS, INC.|3500 PARKWAY LANE|SUITE 220|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|5|0|0|0|0
Atlanta District Office|  29707|801-60210|TRUSTMARK SECURITIES, INC.|TRUSTMARK SECURITIES, INC.|248 EAST CAPITOL STREET||JACKSON MS 39201|USA|P.O. BOX 24088||JACKSON MS 39225|USA|MARCIA WALKER|601-208-7723|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|04/27/2001|0|0|0|0|0|0
Atlanta District Office|  30568|801-60442|REGISTER & AKERS INVESTMENTS, INC.|REGISTER & AKERS INVESTMENTS, INC.|ALLIANCE CENTER|3500 LENOX ROAD, SUITE 1700|ATLANTA GA 30326|USA|||  ||RICHARD L SCHUBERT|404-364-2180|Corporation|Financial planning services, 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
Atlanta District Office|  38095|801-65881|RAIKE FINANCIAL GROUP INC.|RAIKE FINANCIAL GROUP INC.|117 TOWNE LAKE PARKWAY|SUITE 200|WOODSTOCK GA 30188|USA|||  ||WILLIAM J. RAIKE, III|770-516-6996|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
Atlanta District Office|  39057|801-64628|TRUSTFIRST INC.|TRUSTFIRST INC.|6223 HIGHLAND PLACE WAY|SUITE 201|KNOXVILLE TN 37919|USA|||  ||TERRI WEBB|865-583-7390|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|08/26/2005|0|0|0|0|0|0
Atlanta District 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 District Office|  41123|801-57603|LANDOAK SECURITIES, LLC|LANDOAK SECURITIES, LLC|10267 KINGSTON PIKE||KNOXVILLE TN 37922|USA|||  ||DOUG BAXLEY|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|1|1|0|0|0
Atlanta District Office|  44430|801-57302|FIRST CITIZENS INVESTOR SERVICES, INC.|FIRST CITIZENS INVESTOR SERVICES, INC.|3128 SMOKETREE COURT||RALEIGH NC 27604|USA|||  ||JOHN QUIGLEY|919-716-8542|Corporation|Financial planning services, 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 District Office|  46259|801-57922|BANCORPSOUTH INVESTMENT SERVICES, INC.|BANCORPSOUTH INVESTMENT SERVICES, INC.|525 EAST CAPITAL STREET||JACKSON MS 39201|USA|||  ||MONA SHEDD|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 District 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 District Office|  47529|801-63043|OPTSECURITIES, LLC|OPTSECURITIES, LLC|200 S. COLLEGE STREET|16TH FLOOR|CHARLOTTE NC 28202|USA|||  ||RICHARD EHRHART|704-731-5964|Limited Liability Company|Financial planning services, Portfolio management 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|04/28/2004|0|0|0|0|0|0
Atlanta District 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|0|1|1|0|0|0
Atlanta District 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 District 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 District Office| 104524|801-37583|KEYSTONE CAPITAL MANAGEMENT, INC.|KEYSTONE CAPITAL MANAGEMENT, INC.|2322 14TH STREET, SUITE 313||GULFPORT MS 39501|USA|P.O. BOX 1829||GULFPORT MS 39502|USA|JONES, CHARLTON R|228-868-7309|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/19/1990|0|1|0|0|0|0
Atlanta District 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 District Office| 104545|801-37240|G. W. HENSSLER & ASSOCIATES, LTD|G. W. HENSSLER & ASSOCIATES, LTD|3735 CHEROKEE STREET||KENNESAW GA 30144|USA|||  ||JAMES MCCAIN|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 District Office| 104591|801-20824|CAPITAL INVESTMENT COUNSEL INC|CAPITAL INVESTMENT COUNSEL INC|17 GLENWOOD AVENUE||RALEIGH NC 27603|USA|||  ||WILLIAM B. PORTWOOD|(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 District Office| 104605|801-18423|BLUE RONALD & CO LLC|RONALD BLUE & CO LLC|1100 JOHSON FERRY RD|SUITE 800|ATLANTA GA 30342|USA|||  ||RATLEDGE, VIKKI|404-705-7000|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), Pension consulting services, Selection of other advisers, Other|APPROVED|03/04/1983|0|6|0|0|0|0
Atlanta District 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 District Office| 104628|801-17567|SMITH BREEDEN ASSOCIATES INC|SMITH BREEDEN ASSOCIATES INC|100 EUROPA DRIVE|SUITE 200|CHAPEL HILL NC 27517|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 District 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|APPROVED|03/14/1988|0|0|0|0|0|0
Atlanta District 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 District Office| 104731|801-9822|FIDUCIARY SERVICES CORPORATION|FIDUCIARY SERVICES CORPORATION|310 COMMERCIAL DRIVE||SAVANNAH GA 31406|USA|P O BOX 13688||SAVANNAH GA 31416-0688|USA|BUTLER, MALCOLM L|912-303-9000|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 District Office| 104739|801-31621|ASSET ADVISORS CORPORATION|ASSET ADVISORS CORPORATION|2814 A HILLCREEK DRIVE||AUGUSTA GA 30909-5635|USA|||  ||RUSH, GEORGE A|706-650-9900|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|01/01/1988|0|0|0|0|0|0
Atlanta District 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 District Office| 104756|801-35163|STOKES & HUBBELL CAPITAL MANAGEMENT INC|STOKES & HUBBELL CAPITAL MANAGEMENT INC|ONE GALLERIA BLVD.   SUITE 1510||METAIRIE LA 70001|USA|||  ||HUBBELL, STEVEN JOHN|504-832-8100|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|10/13/1989|0|0|0|0|0|0
Atlanta District 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 District 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 District Office| 104820|801-19451|SUMMIT WEALTH MANAGEMENT,INC|SUMMIT WEALTH MANAGEMENT,INC.|200 MANSELL COURT EAST|SUITE 430|ROSWELL GA 30076|USA|||  ||ANGELO ALLECA|(716) 812-9807|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Selection of other advisers|APPROVED|08/05/1983|0|1|0|0|0|0
Atlanta District 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 District 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 District 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|0|0|0|0|0
Atlanta District 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 investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/21/1972|0|1|0|0|0|0
Atlanta District Office| 104855|801-14487|SALEM INVESTMENT COUNSELORS INC|SALEM INVESTMENT COUNSELORS INC|480 SHEPHERD STREET||WINSTON SALEM NC 27103|USA|||  ||HOWARD, JEFFREY C.|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 District 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|WM BARTON BOYER|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)|APPROVED|09/14/1981|0|1|0|0|0|0
Atlanta District 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 District 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|Pension consulting services, Selection of other advisers|APPROVED|08/21/1987|0|1|0|0|0|0
Atlanta District Office| 104985|801-14185|PIEDMONT CAPITAL MANAGEMNET ASSOCIATES INC|PIEDMONT CAPITAL MANAGEMENT ASSOCIATES INC|204 GLENROY COURT||FLAT ROCK NC 28731|USA|P.O. BOX 1328||FLAT ROCK NC 28731|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 District 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 District Office| 105030|801-16031|SFG|SOUTHERN FIDUCIARY GROUP INC|2325 CRESTMOOR RD, STE 202||NASHVILLE TN 37215-8947|USA|P.O. BOX 158947||NASHVILLE TN 37215-8947|USA|POTTS, JUDY L.|615-383-7701|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|05/01/1981|0|0|0|0|0|0
Atlanta District Office| 105098|801-23126|WEAVER C. BARKSDALE & ASSOCIATES, INC.|WEAVER C. BARKSDALE & ASSOCIATES, INC.|10 CADILLAC DRIVE|SUITE 450|BRENTWOOD TN 37027|USA|||  ||DEBBIE SLOCUM|615-724-2218|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/27/1984|0|0|0|0|0|0
Atlanta District Office| 105140|801-18800|APPLIED FINANCIAL GROUP INC|APPLIED FINANCIAL GROUP INC|6065 ROSWELL ROAD|SUITE 215|ATLANTA GA 30328|USA|||  ||RUSSELL E. HOLCOMBE|770-992-0955|Corporation|Financial 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|04/20/1983|0|1|0|0|0|0
Atlanta District Office| 105149|801-32407|EASTOVER CAPITAL MANAGEMENT INC|EASTOVER CAPITAL MANAGEMENT INC|201 S. TRYON ST., STE 1400||CHARLOTTE NC 28202|USA|||  ||HOLLAND, JAYNE P|(704) 336-6818|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/08/1988|0|0|0|0|0|0
Atlanta District 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 investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/29/1980|0|0|0|0|0|0
Atlanta District Office| 105159|801-702|ST. DENIS J. VILLERE & CO., LLC|ST. DENIS J. VILLERE & CO., LLC|210 BARONNE ST., STE 808||NEW ORLEANS LA 70112-1727|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 District Office| 105170|801-143|MINIS & CO, INC.|MINIS & CO, INC.|115 EAST BAY STREET||SAVANNAH GA 31401|USA|||  ||MARTIN, LINDA CARTER|(912)233-4715|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/01/1940|0|0|0|0|0|0
Atlanta District Office| 105173|801-11310|WILLIAM J. BURTON, M.A.|BURTON WILLIAM JOE|3700 CARLYLE CLOSE|APARTMENT 934|MOBILE AL 36609-1827|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 District 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 District 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 District Office| 105267|801-29945|ADAMS INVESTMENT MANAGEMENT INC|ADAMS INVESTMENT MANAGEMENT INC|945 BROADWAY|SUITE 220|COLUMBUS GA 31901-2773|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 District Office| 105276|801-11123|SOUTHEASTERN ASSET MANAGEMENT INC.|SOUTHEASTERN ASSET MANAGEMENT INC.|6410 POPLAR AVE., STE. 900||MEMPHIS TN 38119|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 District 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), Publication of periodicals or newsletters|APPROVED|11/07/1986|0|0|0|0|0|0
Atlanta District Office| 105295|801-36415|GWYNN MANAGEMENT CO|GWYNN MANAGEMENT CO|3060 PEACHTREE RD NW|BUCKHEAD PLAZA SUITE 785|ATLANTA GA 30305-2240|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 District 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 District Office| 105302|801-22637|SHERRILL & HUTCHINS FINANCIAL ADVISORY INC|SHERRILL & HUTCHINS FINANCIAL ADVISORY INC|1532 DUNWOODY VILLAGE PKWY, STE 100||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 District 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 District Office| 105360|801-33949|INVESCO INSTITUTIONAL (N.A.), INC.|INVESCO INSTITUTIONAL (N.A.), INC.|ONE MIDTOWN PLAZA|1360 PEACHTREE STREET, N.E., SUITE 100|ATLANTA GA 30309|USA|||  ||BRIAN K. KAWAKAMI|212-278-9122|Corporation|Portfolio 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 District Office| 105366|801-17451|CALDWELL & ORKIN INC|CALDWELL & ORKIN INC|62OO THE CORNERS PARKWAY|STE 150|NORCROSS GA 30092-3355|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 District 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 District Office| 105414|801-11499|PATTEN AND PATTEN, INC.|PATTEN AND PATTEN, INC.|520 LOOKOUT STREET||CHATTANOOGA TN 37403|USA|||  ||Z. CARTTER PATTEN,III|423.756.3480|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/12/1976|0|0|0|0|0|0
Atlanta District Office| 105427|801-15517|CARROLL FINANCIAL ASSOCIATES INC|CARROLL FINANCIAL ASSOCIATES INC|4201 CONGRESS STREET, STE 210||CHARLOTTE NC 28209|USA|||  ||RUTH H. TODD|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), Selection of other advisers|APPROVED|09/19/1980|0|0|0|0|0|0
Atlanta District 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, Other|APPROVED|05/27/1986|0|10|0|0|0|0
Atlanta District Office| 105497|801-36438|KELLER INVESTMENT MANAGEMENT INC|KELLER INVESTMENT MANAGEMENT INC|1361 WANDERING RIDGE DR||GLENVILLE NC 28736|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 District 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 District 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 District Office| 105527|801-33204|INVESTMENT PERFORMANCE SERVICES LLC|INVESTMENT PERFORMANCE SERVICES LLC|7402 HODGSON MEMORIAL DRIVE, STE 100||SAVANNAH GA 31406|USA|||  ||MARI-ANNE PISARRI|202-223-4418|Limited Liability Company|Pension consulting services, Selection of other advisers|APPROVED|11/03/1988|0|0|0|0|0|0
Atlanta District Office| 105581|801-34275|SHAPIRO CAPITAL MANAGEMENT CO INC|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 District Office| 105582|801-18286|SOUTHERN CAPITAL SERVICES INC|SOUTHERN CAPITAL SERVICES INC|THE SUMMIT 29000 HWY 98|BLDG A SUITE 201|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 District Office| 105592|801-56489|MCKINNEY ASSET MANAGEMENT INC.|MCKINNEY ASSET MANAGEMENT INC.|151 WENDOVER DRIVE||KINGSPORT TN 37663||||  ||MCKINNEY, JOHN E|805-565-1575|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 District Office| 105612|801-26787|C&O FUNDS ADVISOR INC|C&O FUNDS ADVISOR INC|6200 THE CORNERS PARKWAY|STE 150|NORCROSS GA 30092-3355|USA|||  ||HORNE, WILLIAM C|678-533-7850|Corporation|Portfolio management for investment companies|APPROVED|04/24/1986|0|0|0|0|0|0
Atlanta District 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 District Office| 105617|801-32424|CREATIVE FINANCIAL GROUP LTD|CREATIVE FINANCIAL GROUP LTD|1000 ABERNATHY ROAD, NORTHPARK|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 District 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 District Office| 105710|801-31437|SHEETS SMITH & ASSOCIATES INC|SHEETS SMITH & ASSOCIATES INC|120 CLUB OAKS COURT|SUITE 200|WINSTON SALEM NC 27104-4680|USA|||  ||GILBERT, DAVID B|336-765-2020|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|02/12/1988|0|0|0|0|0|0
Atlanta District Office| 105716|801-26708|BROOKS MONTAGUE & ASSOCIATES INC|BROOKS MONTAGUE & 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 District 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 District 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 District 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 District Office| 105756|801-17671|MONTAG A & ASSOCIATES INC|MONTAG A & ASSOCIATES INC|100 PEACHTREE STREET, SUITE 339|EQUITABLE BLDG|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 District Office| 105829|801-11563|LESESNE CAPITAL MANAGEMENT INC|LESESNE CAPITAL MANAGEMENT INC|3414 PEACHTREE ROAD NE|SUITE 750|ATLANTA GA 30326|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 District 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 District Office| 105873|801-24084|KAYS FINANCIAL ADVISORY CORP|KAYS FINANCIAL ADVISORY CORP|200 GALLERIA PARKWAY SE|SUITE 1150|ATLANTA GA 30339|USA|||  ||SELPH, HEATHER|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 District Office| 105878|801-38310|OPTIMUM FINANCIAL SERVICES INC|OPTIMUM FINANCIAL SERVICES INC|1867 CRANE RIDGE DRIVE|SUITE A-202|JACKSON MS 39216|USA|||  ||STONE JR, A  J|601-981-5900|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|02/22/1991|0|0|0|0|0|0
Atlanta District 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|||  ||HOWARD, WILLIAM BARKER|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 District 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 District 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 District Office| 106125|801-52893|TD CAPITAL MANAGEMENT LLC|TD CAPITAL MANAGEMENT LLC|5100 POPLAR AVE|THIRTIETH FLOOR|MEMPHIS TN 38137|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 District 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|DE ST AUBIN, OVIDE TAM|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), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|10/05/1995|0|1|0|0|0|0
Atlanta District Office| 106156|801-42913|SHDR INVESTMENT ADVISERS, INC.|SHDR INVESTMENT ADVISERS, INC.|3 INDEPENDENCE POINTE, SUITE 102||GREENVILLE SC 29615-4543|USA|||  ||MALONE, MELVIN BRUCE|864-527-0640|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 District Office| 106161|801-47590|ATLANTIC CAPITAL MANAGEMENT LLC|ATLANTIC CAPITAL MANAGEMENT LLC|434 FAYETTEVILLE ST MALL #2140|TWO HANNOVER SQUARE|RALEIGH NC 27601|USA|||  ||GLENN MELHORN|919-833-1231|Limited 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|09/30/1994|0|0|0|0|0|0
Atlanta District Office| 106174|801-51946|CHATHAM INVESTMENT MANAGEMENT CO|CHATHAM INVESTMENT MANAGEMENT CO|500 STEPHENSON AVE.||SAVANNAH GA 31405|USA|||  ||MULLER, FREDERICK R.|(912)691-2320|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|06/12/1996|0|0|0|0|0|0
Atlanta District Office| 106234|801-29479|WEDGE CAPITAL MANAGEMENT LLP|WEDGE CAPITAL MANAGEMENT LLP|301 SOUTH COLLEGE STREET|SUITE 2920|CHARLOTTE NC 28202-6002|USA|||  ||R. MICHAEL JAMES|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 District 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 District 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 District 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 District Office| 106298|801-39328|STEARNS FINANCIAL SERVICES GROUP INC|STEARNS FINANCIAL SERVICES GROUP INC|324 W WENDOVER, STE 204||GREENSBORO NC 27408|USA|||  ||HERZOG, ARTHUR|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 District Office| 106379|801-49811|JOHNSON STERLING PAUL SECURITIES INC|JOHNSON STERLING PAUL SECURITIES 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)|APPROVED|09/05/1995|0|0|0|0|0|0
Atlanta District Office| 106390|801-44165|PFM CAPITAL MANAGEMENT LLC|PFM CAPITAL MANAGEMENT LLC|PERIMETER RIDGE 750 HAMMOND DR|BUILDING ONE|ATLANTA GA 30328|USA|||  ||ROBERT C. ATKINSON|404-705-4593|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/02/1993|0|1|0|0|0|0
Atlanta District Office| 106401|801-39749|COMMONWEALTH ADVISORS INC|COMMONWEALTH ADVISORS INC|247 FLORIDA STREET||BATON ROUGE LA 70801-1719|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), Publication of periodicals or newsletters, Other|APPROVED|10/01/1991|0|0|0|0|0|0
Atlanta District Office| 106402|801-45453|THE JUMPER GROUP, INC.|JUMPER GROUP INC|1203 CARTER STREET||CHATTANOOGA TN 37402|USA|||  ||HEIDE ABBAJAY|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 District Office| 106427|801-41365|MOTZ FREDERIC CARSON|MOTZ INVESTOR SERVICES, INC.|5031 NORTH PEACHTREE ROAD||ATLANTA GA 30338|USA|||  ||MOTZ, FREDERIC CARSON|770-234-4920|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/28/1992|0|0|0|0|0|0
Atlanta District Office| 106430|801-38123|GLOBALT INC|GLOBALT INC|3060 PEACHTREE RD NW|STE 225|ATLANTA GA 30305-2239|USA|||  ||M. RAINEY REMBERT WOODWARD|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)|APPROVED|01/18/1991|0|0|0|0|0|0
Atlanta District 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 District 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 District 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), Pension consulting services, Other|APPROVED|03/03/1992|0|0|0|0|0|0
Atlanta District 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 District 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 District 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 District 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 District Office| 106587|801-36037|BARNES PETTEY FINANCIAL ADVISORS|BARNES PETTEY FINANCIAL ADVISORS|252 SUNFLOWER AVENUE||CLARKSDALE MS 38614|USA|P.O. BOX 1234||CLARKSDALE MS 38614|USA|BARNES,DUDLEY M|662-627-2225|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|02/16/1990|0|0|0|0|0|0
Atlanta District 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 District Office| 106678|801-52788|WORSHAM & SAMMONS, LLC|WORSHAM & SAMMONS LLC|4170 ASHFORD DUNWOODY ROAD NE|SUITE 420|ATLANTA GA 30319-1457|USA|||  ||BROGDON, GWEN G|404-256-0056 X15|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 District 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|APPROVED|02/01/1991|1|1|0|0|0|0
Atlanta District Office| 106722|801-38262|HARBOR CAPITAL MANAGEMENT INC|HARBOR CAPITAL MANAGEMENT INC|831 EAST MOREHEAD STREET, SUITE 350||CHARLOTTE NC 28202|USA|||  ||YELTON, MELINDA|704 377 6945|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|02/11/1991|0|0|0|0|0|0
Atlanta District Office| 106725|801-39720|GV CAPITAL MANAGEMENT,INC.|GV CAPITAL MANAGEMENT,INC.|2987 CLAIRMONT ROAD|SUITE 400|ATLANTA GA 30329-1687|USA|||  ||DAVIS, SUSAN|404-601-5703|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|08/27/1991|0|0|0|0|0|0
Atlanta District Office| 106738|801-40000|ASTROP ADVISORY CORP|ASTROP ADVISORY CORP|2970 PEACHTREE ROAD|SUITE 875|ATLANTA GA 30305|USA|||  ||BOWEN ASTROP|404-816-9900|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|10/28/1991|0|0|0|0|0|0
Atlanta District 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)|APPROVED|05/27/1992|0|0|0|0|0|0
Atlanta District Office| 106745|801-47606|IPS ADVISORY INC|IPS ADVISORY INC|9111 CROSS PARK DRIVE|SUITE E-120|KNOXVILLE TN 37923|USA|||  ||ROBERT LOEST|865-691-1420, 2|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/28/1994|0|0|0|0|0|0
Atlanta District Office| 106782|801-48119|SECTOR CAPITAL MANAGEMENT LLC|SECTOR CAPITAL MANAGEMENT LLC|51 GERMANTOWN COURT|SUITE 309|CORDOVA TN 38018|USA|||  ||GURNER, WILLIAM LEWIS|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 District 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|APPROVED|11/01/1990|0|0|0|0|0|0
Atlanta District 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 COURTENAY|919.419.1900|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|05/24/1991|0|0|0|0|0|0
Atlanta District Office| 106809|801-49054|COMPASS FINANCIAL ADVISORS LLC|COMPASS FINANCIAL ADVISORS LLC|5100 WHEELIS DRIVE|SUITE 107|MEMPHIS TN 38117|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 District 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|APPROVED|07/12/1983|0|0|0|0|0|0
Atlanta District Office| 106832|801-42500|MONEY MANAGEMENT SERVICES INC|MONEY MANAGEMENT SERVICES INC|2700 HIGHWAY 280 EAST|SUITE 200 WEST|BIRMINGHAM AL 35223|USA|||  ||DONALD R. RICE|205-871-7526|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|10/30/1992|0|0|0|0|0|0
Atlanta District 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 District 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 District 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 District Office| 106896|801-36942|ROLLINS FINANCIAL COUNSELING INC|ROLLINS FINANCIAL COUNSELING INC|1201 PEACHSTREE 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 District Office| 106907|801-49421|QUINTUS ASSET MANAGEMENT INC|QUINTUS ASSET MANAGEMENT INC|2101 HIGHLAND AVE|SUITE 225|BIRMINGHAM AL 35205|USA|||  ||NAFF, WILLIAM B.|205-930-0989|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/19/1995|0|0|0|0|0|0
Atlanta District Office| 106921|801-60019|EQUITABLE ADVISORS, INC.|EQUITABLE ADVISORS, INC.|4400 HARDING ROAD|SUITE 310|NASHVILLE TN 37205-2314|USA|||  ||TOM R. STEELE|615-460-1160|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|02/08/2001|0|0|0|0|0|0
Atlanta District Office| 106949|801-43668|PETERS FINANCIAL SERVICES LLC|PETERS FINANCIAL SERVICES 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 District 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 District Office| 107048|801-36806|CONSULTING SERVICES GROUP, LLC|CONSULTING SERVICES GROUP, LLC|6075 POPLAR AVE|STE 700|MEMPHIS TN 38119|USA|||  ||MEALS, JOE DAVID|901-761-8080|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|07/06/1990|0|0|0|0|0|0
Atlanta District Office| 107130|801-53512|HILLSBORO CAPITAL, LLC|HILLSBORO CAPITAL, 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 District Office| 107174|801-49105|FMT CAPITAL MANAGEMENT, INC.|FMT CAPITAL MANAGEMENT, INC.|57 GERMANTOWN COURT, SUITE 103||CORDOVA TN 38018-1510|USA|||  ||REYNOLDS, CARLA J|(901) 260-5504|Corporation|Pension consulting services, Selection of other advisers|APPROVED|05/19/1995|0|0|0|0|0|0
Atlanta District Office| 107234|801-40960|SCENERY HILL ASSOCIATES INC.|SCENERY HILL ASSOCIATES INC|154 LAKE TIMICAU LANE||DEWEES ISLAND SC 29451-9406|USA|P.O. BOX 639||ISLE OF PALMS SC 29451-0639|USA|SAUERACKER, ANNE M|843 886-3453|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|03/06/1992|0|0|0|0|0|0
Atlanta District 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 District 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|APPROVED|12/18/1995|0|0|0|0|0|0
Atlanta District Office| 107318|801-49929|SISUNG INVESTMENT MANAGEMENT SERVICES LLC|SISUNG INVESTMENT MANAGEMENT SERVICES LLC|WORLD TRADE CENTER|2 CANAL STREET, SUITE 2444|NEW ORLEANS LA 70130|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 District 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 District Office| 107346|801-23163|TRUSCO CAPITAL MANAGEMENT INC|TRUSCO CAPITAL MANAGEMENT INC|50 HURT PLAZA, STE 1400||ATLANTA GA 30303|USA|||  ||PATRICK A. PAPARELLI|404-724-3681|Corporation|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 District Office| 107385|801-45605|CAPITAL MARKETS ADVISORS INC|CAPITAL MARKETS ADVISORS INC|9755 DOGWOOD ROAD|SUITE 230|ROSWELL GA 30075|USA|||  ||MICHAEL A. ELDER|770 587-3795|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/25/1994|0|0|0|0|0|0
Atlanta District Office| 107388|801-43812|GREENWICH-VAN HEDGE FUND ADVISORS, LLC|GREENWICH-VAN HEDGE FUND ADVISORS, 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|04/26/1993|0|0|0|0|0|0
Atlanta District Office| 107421|801-35040|PIEDMONT INVESTMENT ADVISORY LP|PIEDMONT INVESTMENT ADVISORY LLLP|3424 PEACHTREE ROAD|SUITE 1725|ATLANTA GA 30326|USA|||  ||MECHELLE VICKERS|770-396-1100|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 District 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 District 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 businesses or institutional clients (other than investment companies)|APPROVED|03/15/1996|0|0|0|0|0|0
Atlanta District Office| 107460|801-60000|AURORA INVESTMENT COUNSEL|AURORA INVESTMENT COUNSEL|4045 ORCHARD RD.|SUITE #100|SMYRNA GA 30080|USA|||  ||JAMES L. BOYLE|770-226-5321|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 District Office| 107464|801-45370|SANDERS FINANCIAL MANAGEMENT, INC.|SANDERS FINANCIAL MANAGEMENT, INC.|4725 PEACHTREE CORNERS CIRCLE|SUITE 240|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 District 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 District 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|||  ||STEVE M. CALLAWAY|(205) 268-3804|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/22/1994|0|0|0|0|0|0
Atlanta District Office| 107547|801-60107|NO-LOAD ASSET MANAGEMENT|NO-LOAD, INC.|1870 THE EXCHANGE, SUITE 100||ATLANTA GA 30339|UNITED STATES|1870 THE EXCHANGE, SUITE 100||ATLANTA GA 30339|UNITED STATES|C. R. GUINN|(888) 635-4765|Corporation|Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|03/21/2001|0|0|0|0|0|0
Atlanta District 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 investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|02/25/1993|0|0|0|0|0|0
Atlanta District 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|APPROVED|12/22/1992|0|0|0|0|0|0
Atlanta District 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 District 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|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 District 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 District Office| 107642|801-15583|INSTITUTIONAL FINANCIAL MANAGEMENT INC|INSTITUTIONAL FINANCIAL MANAGEMENT INC|1303 TED DUNHAM AVE.||BATON ROUGE LA 70802|USA|P.O. BOX 65384||BATON ROUGE LA 70896|USA|CHARLES E. COURTNEY, JR.|225-336-4611|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/06/1980|0|0|0|0|0|0
Atlanta District 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 District 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 District Office| 107679|801-35487|SAYBROOK CAPITAL CORP|SAYBROOK CAPITAL CORP|2000 FRONTIS PLAZA BLVD|SUITE 106|WINSTON SALEM NC 27103|USA|||  ||BRUCE M. BABCOCK|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 District Office| 107693|801-26790|INVESTMENT ADVISORY SERVICES INC|INVESTMENT ADVISORY SERVICES INC|5720 SKURLOCK RD STE 8400,6500 BUILDING|6500 BUILDING OSBORNE OFFICE PARK|CHATTANOOGA TN 37411-5517|USA|POST OFFICE BOX 80037||CHATTANOOGA TN 37414-7037|USA|ROBERT L. WHITE|423-954-9142|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/24/1986|0|0|0|0|0|0
Atlanta District 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 District Office| 107727|801-45185|KELMAN LAZAROV INC|KELMAN LAZAROV INC|5100 POPLAR AVE, STE 3105||MEMPHIS TN 38137|USA|||  ||JO ANN F. KAIL|901-685-8284|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|12/07/1993|0|0|0|0|0|0
Atlanta District 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 District Office| 107751|801-25597|STEINE & GOOCH CO INC|STEINE & GOOCH CO INC|1207 17TH AVENUE SOUTH, SUITE 200||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 District 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 District 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 District Office| 107861|801-43509|MURPHY INVESTMENT MANAGEMENT CO|MURPHY INVESTMENT MANAGEMENT CO|240 SOUTH HANSELL STREET||THOMASVILLE GA 31792|USA|P.O. BOX 1374||THOMASVILLE GA 31799|USA|FRED E. MURPHY, IV|229-228-1822|Corporation|Financial 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|05/03/1993|0|0|0|0|0|0
Atlanta District Office| 107866|801-55444|HENSSLER ASSET MANAGEMENT LLC|HENSSLER ASSET MANAGEMENT LLC|3735 CHEROKEE STREET||KENNESAW GA 30144|USA|||  ||JAMES MCCAIN|770-425-6669|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 District 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 District Office| 107890|801-14752|T.LEAVELL & ASSOCIATES, INC|T.LEAVELL & ASSOCIATES, INC|150 GOVERNMENT ST||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|APPROVED|07/23/1979|0|0|0|0|0|0
Atlanta District Office| 107926|801-56189|EARNEST PARTNERS, LLC|EARNEST PARTNERS LLC|75 FOURTEENTH STREET|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 District Office| 107946|801-56006|BILLEAUD CAPITAL MANAGEMENT INC|BILLEAUD CAPITAL MANAGEMENT INC|514 BEVERLY DR.||LAFAYETTE LA 70503|USA|||  ||JOSEPH S. BILLEAUD|337-233-7758|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|11/06/1998|0|0|0|0|0|0
Atlanta District 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, Other|APPROVED|09/02/1988|0|0|0|0|0|0
Atlanta District Office| 107979|801-55039|BOYLE MANAGEMENT & RESEARCH INC|BOYLE MANAGEMENT & RESEARCH INC|1401 WOODSONG DRIVE||HENDERSONVILLE NC 28791|USA|||  ||M. J. BOYLE|1-415-693-0800|Corporation|Portfolio management for investment companies|APPROVED|11/20/1997|0|0|0|0|0|0
Atlanta District 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 District Office| 107998|801-57684|TYRONE DAVID EATON|TYRONE DAVID EATON|213 MAGNOLIA CROSSING||BOSSIER CITY LA 71111|USA|||  ||DAVID E. TYRONE|318-742-5082|Sole Proprietorship|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/23/2000|0|0|0|0|0|0
Atlanta District Office| 108068|801-56953|LAFFER INVESTMENTS INC|LAFFER INVESTMENTS INC|2908 POSTON AVENUE|SUITE 101|NASHVILLE TN 37203-1312|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 District 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 District Office| 108103|801-55377|BEACON INVESTMENT MANAGEMENT INC|BEACON INVESTMENT MANAGEMENT INC|434 FAYETTEVILLE ST. MALL|SUITE 1200|RALEIGH NC 27601|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 District Office| 108123|801-55159|BANYAN CAPITAL MANAGEMENT INC|BANYAN CAPITAL MANAGEMENT INC|2100 RIVEREDGE PARKWAY|SUITE 1030|ATLANTA GA 30328|USA|||  ||INGRID DODD|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 District Office| 108128|801-54192|INVESCO GLOBAL ASSET MANAGEMENT (N.A.), INC.|INVESCO GLOBAL ASSET MANAGEMENT N A INC|ONE MIDTOWN PLAZA|1360 PEACHTREE STREET NE|ATLANTA GA 30309|USA|||  ||BRIAN K. KAWAKAMI|212-278-9122|Corporation|Portfolio 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 District Office| 108159|801-57611|KINGDOM CAPITAL MANAGEMENT, INC.|KINGDOM CAPITAL 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 District 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 District Office| 108174|801-56334|LORI A. DODSON AND ASSOCIATES, LLC|LORI A. DODSON AND ASSOCIATES, LLC|2505 21ST AVENUE SOUTH|SUITE 440|NASHVILLE TN 37212|USA|||  ||LORI A. DODSON|615-242-3808|Limited Liability Company|Financial 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|03/05/1999|0|0|0|0|0|0
Atlanta District Office| 108189|801-35646|HOMRICH & BERG INC|HOMRICH & BERG INC|ONE BUCKHEAD PLAZA, SUITE 830|3060 PEACHTREE ROAD, NW|ATLANTA GA 30305|USA|||  ||ADAM L. FULLER|404-264-1400|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|11/22/1989|0|0|0|0|0|0
Atlanta District Office| 108192|801-33224|VECTOR MONEY MANAGEMENT INC|VECTOR MONEY MANAGEMENT INC|4266 1-55 NORTH, SUITE 102||JACKSON MS 39211-5930|USA|||  ||K. BRIEN CRAIG|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 District Office| 108199|801-24818|WOODARD & CO ASSET MANAGEMENT GROUP INC|WOODARD & CO ASSET MANAGEMENT GROUP INC|150 SOUTH STRATFORD ROAD, SUITE 100||WINSTON-SALEM NC 27104|USA|||  ||JOHN B. WOODARD, JR.|336-722-4700|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 District 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 District 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 District 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 District 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 District 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 District 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|0|0|0|0|0
Atlanta District 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|APPROVED|08/22/2000|0|5|0|0|0|0
Atlanta District Office| 108457|801-56163|BUCKHORN CAPITAL MANAGEMENT LLC|BUCKHORN CAPITAL MANAGEMENT LLC|1724 EAST BLVD. SUITE 100||CHARLOTTE NC 28203|USA|||  ||KATY HUTCHESON|704-358-8336|Limited 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|01/06/1999|0|0|0|0|0|0
Atlanta District Office| 108504|801-64395|CB & H BUSINESS SERVICES, LLC|CB & H BUSINESS SERVICES, LLC|1029 GREENE STREET||AUGUSTA GA 30901|USA|||  ||DAVID RICHARDS|704-940-2637|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|06/27/2005|0|0|0|0|0|0
Atlanta District 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 District 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 investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/13/1986|0|0|0|0|0|0
Atlanta District 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 District 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, Selection of other advisers|APPROVED|02/01/2000|1|0|0|0|0|0
Atlanta District 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|Selection of other advisers, Other|APPROVED|06/25/1999|0|0|0|0|0|0
Atlanta District Office| 108584|801-54866|LINDNER CAPITAL ADVISORS, INC.|LINDNER CAPITAL ADVISORS, INC.|533 JOHNSON FERRY ROAD|BUILDING C, SUITE 200|MARIETTA GA 30068|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), Selection of other advisers|APPROVED|09/17/1997|0|0|0|0|0|0
Atlanta District 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 District 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|||  ||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 District 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 investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/02/1998|0|0|0|0|0|0
Atlanta District Office| 108741|801-34451|COOK MAYER TAYLOR|MICHAEL W COOK ASSET MANAGEMENT INC.|6000 POPLAR AVENUE|SUITE 220|MEMPHIS TN 38119|USA|||  ||ANDREW G. TAYLOR|(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 District 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|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 District Office| 108780|801-56890|BRAGG FINANCIAL ADVISORS INC|BRAGG FINANCIAL ADVISORS INC|100 QUEENS ROAD||CHARLOTTE NC 28204|USA|||  ||STEVE SCRUGGS|704-714-7701|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Pension consulting services|APPROVED|10/12/1999|0|0|0|0|0|0
Atlanta District 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 District Office| 108856|801-57615|BEY-DOUGLAS, LLC INVESTMENT COUNSEL|BEY-DOUGLAS, LLC|1640 POWERS FERRY RD., BLDG. 11|SUITE 100|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 District 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 District 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 District Office| 108934|801-55232|ING INVESTMENT MANAGEMENT LLC|ING INVESTMENT MANAGEMENT LLC|5780 POWERS FERRY ROAD NW|SUITE 300|ATLANTA GA 30327-4349|USA|||  ||M. MICHAEL MCCOMB|770-690-4728|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/30/1998|0|2|0|0|0|0
Atlanta District Office| 108941|801-55657|PLANFIRST INC|PLANFIRST INC|204 WHITSETT STREET||GREENVILLE SC 29601|USA|P.O. BOX 5898||GREENVILLE SC 29606|USA|STACIE WALLICE|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 District 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 District 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 District Office| 108988|801-56829|MCCARTHY J MICHAEL FINANCIAL ADVISOR INC|MCCARTHY J MICHAEL FINANCIAL ADVISOR INC|845 MALVERN HILL CT.||ALPHARETTA GA 30022|USA|||  ||J. MICHAEL MCCARTHY|(770) 740-1832|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 District 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 District Office| 109024|801-55667|SOVEREIGN WEALTH MANAGEMENT INC|SOVEREIGN WEALTH MANAGEMENT INC|1000 RIDGEWAY LOOP ROAD|SUITE 103|MEMPHIS TN 38120|USA|||  ||B. LANE CARRICK|901-685-5050|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|06/23/1998|0|0|0|0|0|0
Atlanta District 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 District Office| 109040|801-57167|DIVERSIFIED FINANCIAL PLANNING INC|DIVERSIFIED FINANCIAL PLANNING INC|10892 CRABAPPLE ROAD|SUITE 200|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 District 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 District Office| 109078|801-56389|JOHN WINTHROP & COMPANY, INC.|JOHN WINTHROP & COMPANY, INC.|ONE NORTH ADGER'S WHARF||CHARLESTON SC 29401|USA|P.O. BOX 22527||CHARLESTON SC 29413-2527|USA|MARY H. HOWELL|843-722-2228|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/01/1999|0|0|0|0|0|0
Atlanta District Office| 109136|801-57825|MOTT & ASSOCIATES INC|MOTT & ASSOCIATES INC|134 PROFESSIONAL PARK DRIVE|SUITE 400|MOORESVILLE NC 28117|USA|||  ||JOE MOTT|7047996650|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|08/03/2000|0|0|0|0|0|0
Atlanta District Office| 109197|801-57785|TSJ ADVISORY GROUP, INC|TSJ ADVISORY GROUP INC|3650 MANSELL RD|STE 200|ALPHARETTA GA 30022|USA|||  ||W. JAMES STOKES|678-385-2807|Corporation|Portfolio management for investment companies|APPROVED|07/20/2000|0|0|0|0|0|0
Atlanta District 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, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|01/21/2000|0|0|0|0|0|0
Atlanta District 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|APPROVED|12/16/1999|0|2|0|0|0|0
Atlanta District Office| 109253|801-54719|FAMILY WEALTH MANAGEMENT LLC|FAMILY WEALTH MANAGEMENT LLC|1000 RIDGEWAY LOOP ROAD|SUITE 103|MEMPHIS TN 38120|USA|||  ||BENJAMIN LANE CARRICK|901-685-5050|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/17/1997|0|0|0|0|0|0
Atlanta District 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 District Office| 109279|801-58035|WEALTH ADVISOR GROUP, LLC|WEALTH ADVISOR GROUP, 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 District Office| 109319|801-56698|GERBER/TAYLOR MANAGEMENT COMPANY|GERBER/TAYLOR MANAGEMENT COMPANY|ONE COMMERCE SQUARE|SUITE 1900|MEMPHIS TN 38103|USA|||  ||SIMONE N. TULLOS|901-526-9750|Corporation|Portfolio management for investment companies, Selection of other advisers|APPROVED|07/22/1999|0|0|0|0|0|0
Atlanta District Office| 109335|801-57250|ARLINGTON PARTNERS LLC|ARLINGTON PARTNERS LLC|2140 ELEVENTH AVE SOUTH|PARK BLDG, SUITE 402|BIRMINGHAM AL 35205|USA|||  ||WILLIAM K. NICROSI, II|205.212.5353|Limited Liability Company|Financial planning 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 District Office| 109349|801-55882|GRAY & CO|GRAY FINANCIAL GROUP|7000 PEACHTREE DUNWOODY|BUILDING 5|ATLANTA GA 30328|USA|||  ||SHANIKA SWIFT|678-805-0508|Corporation|Pension consulting services|APPROVED|09/24/1998|0|0|0|0|0|0
Atlanta District 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 District Office| 109416|801-55753|CAPITAL MANAGEMENT INC|CAPITAL MANAGEMENT INC|628 GREEN VALLEY ROAD, SUITE 204||GREENSBORO NC 27408|USA|||  ||DIANE M. LINDSEY|(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 District Office| 109423|801-56424|SHAYNE & CO LLC|SHAYNE & CO LLC|3401 WEST END AVENUE|SUITE 690|NASHVILLE TN 37203|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 District 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|336-993-3704|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|04/20/1998|0|1|0|0|0|0
Atlanta District Office| 109467|801-58093|CHARLOTTE CAPITAL, LLC|CHARLOTTE CAPITAL, LLC|PROVIDENCE PARK, SUITE 110|10800 SIKES PLACE|CHARLOTTE NC 28277|USA|||  ||ROBERT W. MATHAI|704-246-2429|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/05/2000|0|0|0|0|0|0
Atlanta District 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 businesses or institutional clients (other than investment companies)|APPROVED|10/16/2000|0|0|0|0|0|0
Atlanta District Office| 109540|801-56734|SMITH & HOWARD FINANCIAL GROUP LLC|SMITH & HOWARD FINANCIAL GROUP 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 District 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|Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters, Financial planning services|APPROVED|12/28/1999|0|0|0|0|0|0
Atlanta District Office| 109552|801-57316|HORIZON INVESTMENTS LLC|HORIZON INVESTMENTS LLC|1233 WASHINGTON ST|STE 1001|COLUMBIA SC 29201|USA|7401 CARMEL EXECUTIVE PARK|SUITE 106|CHARLOTTE NC 28226||ROBBIE CANNON|803-733-9833|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|02/24/2000|0|0|1|0|0|0
Atlanta District 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 District 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), Publication of periodicals or newsletters, Other|APPROVED|09/28/1998|0|0|0|0|0|0
Atlanta District 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|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 District 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 District 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 District Office| 109643|801-57815|BOLTON CAPITAL PLANNING LLC|BOLTON CAPITAL PLANNING LLC|775 RIDGE LAKE BLVD|STE 100|MEMPHIS TN 38120|USA|||  ||ROBERT V. CORNISH, JR.|901.766.4450|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/07/2000|0|0|0|0|0|0
Atlanta District 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|BERNARD JOSEPH BANDISH, JR.|800-313-0877, EXT. 2280|Limited Liability Company|Financial planning services|APPROVED|12/15/2000|0|0|0|0|0|0
Atlanta District 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 District Office| 109762|801-57269|CAPITAL DIRECTIONS LLC|CAPITAL DIRECTIONS INVESTMENT ADVISORS LLC|THE POINTE, SUITE 220|400 NORTHRIDGE ROAD|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), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|02/17/2000|0|0|0|0|0|0
Atlanta District 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 District Office| 109779|801-57961|WOODMONT INVESTMENT COUNSEL, LLC|WOODMONT INVESTMENT COUNSEL, LLC|102 WOODMONT BLVD|SUITE 350|NASHVILLE TN 37205|USA|||  ||JAMIE M. PARSLEY|615-297-3209|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 District 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 District Office| 109827|801-50316|TIMBERVEST LLC|TIMBERVEST LLC|3340 PEACHTREE ROAD, NE|SUITE 1150|ATLANTA GA 30326|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 District Office| 109830|801-53450|JOSEPH PARKER & COMPANY INC|TNB FINANCIAL SERVICES, INC.|325 NORTH BROAD STREET||THOMASVILLE GA 31792|USA|POST OFFICE BOX 1934||THOMASVILLE GA 31799-1934|USA|SUSAN J. HALL|229-227-0600|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/19/1996|0|0|0|0|0|0
Atlanta District Office| 109832|801-46630|QUANTUM GABELLI LP|QUANTUM GABELLI LP|1705 MILAN||NEW ORLEANS LA 70113|USA|||  ||HARRY TABONY|504-895-7710|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/01/1994|0|0|0|0|0|0
Atlanta District Office| 109843|801-31614|C. F. PARKS & CO., INC.|PARKS C F & CO INC|531 EAST INNES 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 District 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 District Office| 109873|801-57345|MATRIX WEALTH ADVISORS, INC.|MATRIX WEALTH ADVISORS, INC|1001 MOREHEAD SQUARE DRIVE|SUITE 300|CHARLOTTE NC 28203|USA|||  ||BRETT COFFMAN|704-887-4297|Corporation|Financial planning services, Portfolio management for 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 District 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 District 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 District Office| 110115|801-60222|THE ADVISOR, LLP|THE ADVISOR, LLP|302 CREEKSTONE RIDGE||WOODSTOCK GA 30188|USA|||  ||CARL YOUNGDALE|770-517-6411|Limited Liability Partnership|Portfolio management for individuals and/or small businesses, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|05/04/2001|0|0|0|0|0|0
Atlanta District 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 District 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 District 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 District Office| 110177|801-57207|EAGLE CAPITAL MANAGEMENT, LLC|EAGLE CAPITAL MANAGEMENT, LLC|3330 WEST ESPLANADE AVENUE, SUITE 425||METAIRIE LA 70002|USA|||  ||MICHAEL ROHM|504-835-9726|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 District 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 District 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 District 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 District Office| 110271|801-15563|CRAWFORD INVESTMENT COUNSEL INC|CRAWFORD INVESTMENT COUNSEL INC|600 GALLERIA PARKWAY, NW|SUITE 1650|ATLANTA GA 30339|USA|||  ||PATRICIA C. HOWARD|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 District 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 District 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)|APPROVED|09/15/1996|0|0|0|0|0|0
Atlanta District Office| 110332|801-23135|WOODSIDE BETH WRIGHT|WOODSIDE BETH WRIGHT|104 SOUTH MAIN STREET|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 District 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 District Office| 110375|801-55086|JE WILSON ADVISORS, LLC|JE WILSON ADVISORS, LLC|2445 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 District Office| 110397|801-16306|ZELIFF WALLACE JACKSON INVESTMENT COUNSEL INC|ZELIFF WALLACE JACKSON INVESTMENT COUNSEL INC|1180 W. PEACHTREE ST., NW|SUITE 1000|ATLANTA GA 30309-3479|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 District Office| 110400|801-26038|HORIZON CAPITAL MANAGEMENT, INC.|HORIZON CAPITAL MANAGEMENT, INC.|141 RIDGEWAY DR||LAFAYETTE LA 70503|USA|||  ||MARTHA Q. THOMAS|337-981-9139|Corporation|Portfolio management for investment companies|APPROVED|12/31/1985|0|0|0|0|0|0
Atlanta District Office| 110408|801-32478|STERNE AGEE ASSET MANAGEMENT|STERNE AGEE ASSET MANAGEMENT INC|800 SHADES CREEK PARKWAY|SUITE 125|BIRMINGHAM AL 35209|USA|||  ||CAROL S. KENNEDY|(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 District 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 District Office| 110440|801-45421|THE HARBINGER GROUP JV|THE HARBINGER GROUP JV|ONE RIVERCHASE PARKWAY SOUTH||BIRMINGHAM AL 35244|USA|||  ||MAX BERUEFFY|205/987-5500|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/05/1994|0|0|0|0|0|0
Atlanta District 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 District 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, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Market timing services|APPROVED|09/27/1985|0|0|0|0|0|0
Atlanta District 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 District 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|APPROVED|05/29/1986|0|0|0|0|0|0
Atlanta District 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|ALLISON FAIRLY|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), Publication of periodicals or newsletters|APPROVED|06/21/1991|0|0|0|0|0|0
Atlanta District 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 District Office| 110533|801-60234|HIBERNIA ASSET MANAGEMENT|HIBERNIA 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|10|0|0|0|0
Atlanta District 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 District Office| 110577|801-55926|HARBERT FUND ADVISORS, INC.|HARBERT FUND ADVISORS, INC.|ONE RIVERCHASE PARKWAY SOUTH||BIRMINGHAM AL 35244|USA|||  ||MAX BERUEFFY|205/987-5500|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/27/1998|0|1|0|0|0|0
Atlanta District 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 District Office| 110663|801-35883|DOMAIN CAPITAL ADVISORS, INC.|DOMAIN CAPITAL ADVISORS, INC.|1100 ABERNATHY ROAD NE BLDG.500|SUITE 700|ATLANTA GA 30328|USA|||  ||JOHN R. LUCKETT|770.551.0007|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/09/1990|0|0|0|0|0|0
Atlanta District Office| 110667|801-57973|GOLDEN CAPITAL MANAGEMENT, LLC|GOLDEN CAPITAL MANAGEMENT, LLC|10715 DAVID TAYLOR DR|SUITE 150|CHARLOTTE NC 28262|USA|||  ||GREG W. GOLDEN|704-593-1144 X 100|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/04/2000|0|0|0|0|0|0
Atlanta District 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 District Office| 110676|801-24716|NEWSOUTH CAPITAL MANAGEMENT INC|NEWSOUTH CAPITAL MANAGEMENT INC|1100 RIDGEWAY LOOP RD|SUITE 444|MEMPHIS TN 38120|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 District Office| 110707|801-57810|BUCKHEAD CAPITAL MANAGEMENT, LLC|BUCKHEAD CAPITAL MANAGEMENT, LLC|1545 PEACHTREE STREET, NE|SUITE 550|ATLANTA GA 30309-7025|USA|||  ||CYNTHIA L. PRINCE|404-720-8797|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/09/2000|0|0|0|0|0|0
Atlanta District Office| 110714|801-21969|OHERRON & CO INC|OHERRON & CO INC|2424 GLENWOOD AVENUE|SUITE 101|RALEIGH NC 27608|USA|||  ||JOANNE SALISBURY|919 571-7722|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/08/1984|0|0|0|0|0|0
Atlanta District 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 District 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 District 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 District Office| 110875|801-56696|SIEGEL GROUP INC|SIEGEL GROUP INC|601 POYDRAS STREET, SUITE 2650||NEW ORLEANS LA 70130|USA|||  ||TANYA DEJEAN|504-566-3903|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/20/1999|0|0|0|0|0|0
Atlanta District 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)|APPROVED|05/12/2005|0|4|0|0|0|0
Atlanta District 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 District Office| 110955|801-20842|CLARK FINANCIAL ADVISORS|M. BROOKS CLARK, CFP, INC.|4128 CROSSHAVEN DRIVE||BIRMINGHAM AL 35243|USA|P O BOX 43828||BIRMINGHAM AL 35243|USA|M. BROOKS CLARK|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 District 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 District 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 District Office| 111025|801-11913|CONSOLIDATED PLANNING CORP|CONSOLIDATED PLANNING CORP|400 COLONY SQ|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 District 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|Financial planning 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|03/22/1983|0|0|0|0|0|0
Atlanta District Office| 111049|801-20028|SOVEREIGN ADVISERS|SOVEREIGN HOLDINGS LLC|3440 TORINGDON WAY|SUITE 308|CHARLOTTE NC 28277|USA|||  ||JEFFREY R. HINES|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)|APPROVED|10/21/1983|0|0|0|0|0|0
Atlanta District 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|404-898-2005|Corporation|Financial planning services, 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 District Office| 111071|801-56214|JONAS BRITTAIN GLENN INC.|JONAS BRITTAIN GLENN INC.|% WACHOVIA BK.  TR. DEPT.|101 N PINE ST. PO BOX5707|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 District 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|Financial planning services, 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 District Office| 111093|801-60113|SELECT CONSULTING, INC.|SELECT CONSULTING, INC.|2810 COLISEUM CENTRE DRIVE SUITE 365||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 District 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|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|07/31/1981|0|0|0|0|0|0
Atlanta District 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)|APPROVED|03/26/2001|0|0|0|0|0|0
Atlanta District Office| 111270|801-56718|FEE-ONLY PLANNING PROFESSIONALS, LLC|FEE-ONLY PLANNING PROFESSIONALS, 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, Selection of other advisers, Other|APPROVED|07/29/1999|0|0|0|0|0|0
Atlanta District 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 District 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 District Office| 111322|801-56457|SHOEMAKER ADVISORY CORPORATION|J. H. SHOEMAKER ADVISORY CORPORATION|2176 WEST STREET|SUITE 110|GERMANTOWN TN 38138|USA|||  ||DAVID LAWRENCE WEBB|901-757-5757|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|04/20/1999|0|1|0|0|0|0
Atlanta District Office| 111359|801-39597|ORLEANS CAPITAL MANAGEMENT CORP|ORLEANS CAPITAL MANAGEMENT CORP|ONE SHELL SQUARE|701 POYDRAS ST., SUITE 3800|NEW ORLEANS LA 70139-7915|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 District Office| 111471|801-56673|DIXON HUGHES WEALTH ADVISORS, LLC|DIXON HUGHES WEALTH ADVISORS, LLC|100 N. GREENE STREET|SUITE 1000|GREENSBORO NC 27401|USA|PO BOX 22047||GREENSBORO NC 27420|USA|STEVEN H. MORTON|336-294-8585|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|07/13/1999|0|0|0|0|0|0
Atlanta District Office| 111491|801-49757|YON DRAKE & ASSOCIATES INC|YON DRAKE & ASSOCIATES INC|914 RICHLAND ST|SUITE C-200|COLUMBIA SC 29201|USA|||  ||DAVID A. YON|803-256-1212|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|07/27/1995|0|0|0|0|0|0
Atlanta District 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 District Office| 111554|801-56314|AMSOUTH ASSET MANAGEMENT, INC.|AMSOUTH ASSET MANAGEMENT, INC.|1901 6TH AVENUE NORTH|SUITE 620|BIRMINGHAM AL 35203|USA|||  ||MARK GILBERT|205-264-4230|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/02/1999|1|7|0|0|0|0
Atlanta District Office| 111572|801-58078|SIMON INVESTMENT ADVISORY SERVICES, INC.|SIMON INVESTMENT ADVISORY SERVICES, INC.|308 WEST ROSEMARY STREET|SUITE 308|CHAPEL HILL NC 27516|USA|8 N. QUEEN STREET|10TH FLOOR|LANCASTER PA 17603|USA|STEPHANIE SMITH|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|11/01/2000|0|0|0|0|0|0
Atlanta District 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|Financial planning services, Pension consulting services|APPROVED|02/28/2003|0|0|0|0|0|0
Atlanta District 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, 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
Atlanta District Office| 111679|801-57071|FINANCIAL MARKET MANAGEMENT INC|FINANCIAL MARKET MANAGEMENT INC|3379 PEACHTREE RD NE STE 270||ATLANTA GA 30326|USA|P.O. BOX 190637||ATLANTA GA 31119-0637|USA|SCOTT RAWSON|(404) 261-1309|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|12/17/1999|0|0|0|0|0|0
Atlanta District Office| 111715|801-27629|MORGAN ASSET MANAGEMENT, INC.|MORGAN ASSET MANAGEMENT, INC.|417 NORTH 20TH STREET|SUITE #1500|BIRMINGHAM AL 35203|USA|||  ||J. KENNETH ALDERMAN|205-326-7825|Corporation|Portfolio 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|0|0|0|0|0
Atlanta District 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 District Office| 111748|801-57832|COUNCILMARK ASSET MANAGEMENT, LLC|COUNCILMARK ASSET MANAGEMENT, LLC|TYSON PLACE, SUITE 3|2607 KINGSTON PIKE|KNOXVILLE TN 37919|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 District 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 District Office| 111757|801-60146|AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC|AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC|1901 SIXTH AVENUE NORTH||BIRMINGHAM AL 35203|USA|||  ||MARK GILBERT|205-264-4230|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|04/09/2001|1|7|0|0|0|0
Atlanta District Office| 111783|801-64398|EFP WEALTH MANAGEMENT|EXECUTIVE FINANCIAL PLANNING, INCORPORATED|1501 LAKELAND DRIVE|SUITE  201|JACKSON MS 39216|USA|||  ||EDWARD T. SIMMONS|601-364-7300|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|06/28/2005|0|0|0|0|0|0
Atlanta District Office| 111983|801-60142|HORIZON ADVISERS|HANCOCK BANK|2510 14TH STREET, 3RD FLOOR||GULFPORT MS 39501|USA|||  ||JOHN PORTWOOD|228-868-4468|Other (specify)|Portfolio management for investment companies|APPROVED|04/03/2001|0|0|0|0|0|0
Atlanta District 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 District Office| 112110|801-60250|FIRST TENNESSEE ADVISORY SERVICES DEPT.|FIRST TENNESSEE BANK NATIONAL ASSOCIATION|530 OAK COURT DRIVE SUITE 200||MEMPHIS TN 38117|USA|||  ||WARD K. MCBEE|901-818-6072|Other (specify)|Portfolio management for investment companies, Selection of other advisers|APPROVED|05/11/2001|0|1|0|0|0|0
Atlanta District Office| 112118|801-60254|GV FINANCIAL ADVISORS, INC.|GV FINANCIAL ADVISORS,INC.|2987 CLAIRMONT ROAD|SUITE 400|ATLANTA GA 30329|USA|||  ||GINGER CARROLL|301-656-6545|Corporation|Financial planning services, Pension consulting services, Publication of periodicals or newsletters|APPROVED|05/21/2001|0|0|0|0|0|0
Atlanta District Office| 112145|801-60184|CHECKS & BALANCES, INC.|CHECKS & BALANCES, INC.|3290 NORTHSIDE PKWY|SUITE 375|ATLANTA GA 30327|USA|||  ||FRANCES G. MAYNARD|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 District 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 District Office| 112202|801-60273|UNITED INVESTMENT MANAGERS, INC.|UNITED INVESTMENT MANAGERS, INC.|7000 PEACHTREE DUNWOODY ROAD|BUILDING 5|ATLANTA GA 30328|USA|||  ||ELIZABETH CRENSHAW|678-805-0508|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/11/2001|0|0|0|0|0|0
Atlanta District Office| 112231|801-57365|JONATHAN SMITH & CO.|JONATHAN SMITH & CO. INVESTMENT COUNSEL LLC|128 EAST FISHER AVE||GREENSBORO NC 27401|USA|||  ||ANNE FLEGAL SMITH|336 272 9488|Limited 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|04/28/2000|0|0|0|0|0|0
Atlanta District 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 District Office| 112276|801-61875|WOODMONT ADVISORY GROUP, INC.|WOODMONT ADVISORY GROUP, INC.|860 E. RIVER PLACE|SUITE 201|JACKSON MS 39202|USA|||  ||HENRY W. STEPHENSON|601-944-0098|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 District 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 District Office| 112407|801-56121|ATLANTA INVESTMENT COUNSEL LLC|ATLANTA INVESTMENT COUNSEL LLC|3717 HADDON HALL ROAD, N.W.||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 District Office| 112409|801-16429|HILLER GEORGE M COMPANIES LLC|HILLER GEORGE M COMPANIES LLC|3414 PEACHTREE RD NE STE 1110||ATLANTA GA 30326|USA|||  ||HILLER GEORGE|404-365-0222|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|09/25/1981|0|0|0|0|0|0
Atlanta District 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 District Office| 112599|801-30155|CHARLES DEROSE, INC.|CHARLES DEROSE, INC.|3004 OLD BRIDGEVIEW LANE||CHARLESTON SC 29403|USA|P.O. BOX 1158||ANNA MARIA FL 34216-1158|USA|CHARLES DE ROSE|727-345-7814|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|09/03/1987|0|0|0|0|0|0
Atlanta District Office| 112608|801-45601|PERSONAL MUTUAL FUND MANAGEMENT|PMFM INC|1551 JENNINGS MILL ROAD|SUITE 2400A|BOGART GA 30622|USA|||  ||ANN P. ROULEAU|706-353-8737|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 District 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 District Office| 112660|801-57494|STRUCTURED CREDIT PARTNERS LLC|STRUCTURED CREDIT PARTNERS LLC|301 S. COLLEGE STREET|8TH FLOOR|CHARLOTTE NC 28288-0600|USA|||  ||BRIAN M. MORAN|(704)715-9636|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 District Office| 112681|801-56884|QUANTUM FINANCIAL STRATEGISTS INC|ROEMMICH WEALTH STRATEGISTS, INC.|1551 JENNINGS MILL ROAD SUITE 2400B||BOGART GA 30622|USA|||  ||KEN BLUMREICH|706 613 9624|Corporation|Financial 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|09/01/1999|0|0|0|0|0|0
Atlanta District Office| 112758|801-60393|F&D ADVISORS, LLC|F&D ADVISORS, LLC|600 PEACHTREE STREET, NE|SUITE 1910|ATLANTA GA 30308-2265|USA|||  ||ELIZABETH GOODROW|404/253-7600|Limited Liability Company|Financial planning services, 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 District 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 District Office| 112787|801-60274|PEACHTREE PLANNING CORPORATION|PEACHTREE PLANNING ADVISORS, INC.|5040 ROSWELL RD.||ATLANTA GA 30342|USA|||  ||JOHN E. HILL|404-260-1600|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/16/2001|0|0|0|0|0|0
Atlanta District Office| 112897|801-57054|FRAZIER FINANCIAL CONSULTANTS|FRAZIER, DEBORAH JANE|109 CONNER DRIVE|SUITE 205|CHAPEL HILL NC 27514|USA|||  ||DEBORAH J|(919)929-6940|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|12/09/1999|0|0|0|0|0|0
Atlanta District Office| 113027|801-61531|LANG ASSET MANAGEMENT, INC.|LANG ASSET MANAGEMENT, INC.|5605 GLENRIDGE DR.|SUITE 1080|ATLANTA GA 30342|USA|||  ||ROBERT B. LANG|404-256-4100|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/11/2002|0|0|0|0|0|0
Atlanta District Office| 113075|801-60397|W.WALL AND COMPANY, INC.|W.WALL AND COMPANY, INC.|ONE TOWN SQUARE|SUITE 100|ASHEVILLE NC 28803|USA|||  ||WARREN W. WALL|828-651-9617|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|07/06/2001|0|0|0|0|0|0
Atlanta District 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 District 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|||  ||ERIC A. GRESCHNER|504-831-4636|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, Market timing services, Other|APPROVED|07/03/2001|0|0|0|0|0|0
Atlanta District 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, Other|APPROVED|03/15/2004|0|1|0|0|0|0
Atlanta District Office| 113224|801-57862|SATUIT CAPITAL MANAGEMENT, LLC|SATUIT CAPITAL MANAGEMENT, LLC|2807 GASTON GATE||MT PLEASANT SC 29466|USA|||  ||ROBERT J. SULLIVAN|843-388-6686|Limited Liability Company|Portfolio management for investment companies|APPROVED|08/16/2000|0|0|0|0|0|0
Atlanta District 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 District 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)|APPROVED|08/10/2001|0|0|0|0|0|0
Atlanta District Office| 113584|801-60556|POPE ASSET MANAGEMENT, LLC|POPE ASSET MANAGEMENT, LLC|5100 POPLAR AVENUE|SUITE 512|MEMPHIS TN 38137|USA|||  ||ALISON HILL|901/ 763-4001|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/10/2001|0|0|0|0|0|0
Atlanta District 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|423-886-9933|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|05/10/2002|0|0|0|0|0|0
Atlanta District Office| 113599|801-60514|GREENWICH-VAN ASSET MANAGEMENT, LLC|GREENWICH-VAN ASSET MANAGEMENT, LLC|ONE BURTON HILLS BLVD.|SUITE 375|NASHVILLE TN 37215|USA|||  ||JOHN VAN|(615) 377-2949|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/24/2001|0|0|0|0|0|0
Atlanta District 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|FRANK GEHMAN JOLLEY|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 District 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 District 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 District 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 District 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 District Office| 113772|801-63335|GREENWICH-VAN ADVISORS, LLC|GREENWICH-VAN ADVISORS, LLC|ONE BURTON HILLS BLVD., SUITE 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, Publication of periodicals or newsletters|APPROVED|07/19/2004|0|0|0|0|0|0
Atlanta District 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 District Office| 113961|801-60743|ASSET MANAGEMENT AND PLANNING, LLC|ASSET MANAGEMENT AND PLANNING, LLC|1226 PICKENS ST. SUITE 101||COLUMBIA SC 29201|USA|||  ||LAURIE WHITE|803-988-0295|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 District 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 District Office| 114471|801-60460|HUNT COLLINS & ASSOCIATES, LLC|HUNT COLLINS & ASSOCIATES, LLC|380 KNOLLWOOD STREET|SUITE 330|WINSTON SALEM NC 27103|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 District 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 District Office| 114575|801-63377|THE MOLPUS WOODLANDS GROUP, LLC|THE MOLPUS WOODLANDS GROUP, LLC|654 NORTH STATE STREET||JACKSON MS 39202|USA|||  ||MATTHEW F. HARKEY|601-948-8733|Limited Liability Company|Other|APPROVED|07/22/2004|0|0|0|0|0|0
Atlanta District Office| 114631|801-64207|HENDERSON, HUTCHERSON & MCCULLOUGH CAPITAL ADVISORS, LLC|HENDERSON, HUTCHERSON & MCCULLOUGH CAPITAL ADVISORS, LLC|1000 RIVERFRONT PARKWAY||CHATTANOOGA TN 37402|USA|||  ||LARRY C. ROOKS|423-756-7771|Limited Liability Company|Financial 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 District Office| 114862|801-60830|MORRIS FINANCIAL CONCEPTS, INC.|MORRIS FINANCIAL CONCEPTS, INC.|107 PITT STREET||MOUNT PLEASANT SC 29464|USA|||  ||KYRA MORRIS|843-884-6192|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Other|APPROVED|01/11/2002|0|0|0|0|0|0
Atlanta District Office| 114968|801-61758|BARRY C. SMITH|SMITH,BARRY,CARL|6360 I-55 NORTH, STE. 101||JACKSON MS 39211|USA|6360 I-55 NORTH, STE. 101||JACKSON MS 39211|USA|BARRY C. SMITH|601-957-6006|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/24/2003|0|0|0|0|0|0
Atlanta District 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|MICHELLE KENNEDY|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 District 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 District Office| 115231|801-60517|GREEN SQUARE CAPITAL, LLC|GREEN SQUARE CAPITAL, LLC|6075 POPLAR AVENUE|SUITE 322|MEMPHIS TN 38119|USA|||  ||DARRELL L. HORN|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 District Office| 115298|801-61346|JFB PLANNING SERVICES, INC.|JFB PLANNING SERVICES, INC.|295 CROOKED STICK DRIVE||ALPHARETTA GA 30004|USA|||  ||JAMES F. BOTTOMS, SR.|678-393-9796|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/26/2002|0|0|1|0|0|0
Atlanta District 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 District 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 District Office| 115422|801-60674|ASSET MANAGEMENT OF THE SOUTH|ASSET MANAGEMENT OF THE SOUTH|300 NORTH MAIN ST., SUITE 203||GREENVILLE SC 29601|USA|||  ||ANDREW M. CRANE, SR.|864-271-2233|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/01/2001|0|0|0|0|0|0
Atlanta District 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|MICHAEL L. ALREAD|423-283-9821|Limited Liability Company|Financial 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|02/08/2002|0|0|0|0|0|1
Atlanta District 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 District 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 District 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 District 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 District 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 District 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|ERNEST L. CLARK|334-793-7001|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 District 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 District 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 District 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 District 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 District 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 District Office| 117040|801-65870|FREEGULLIVER, LLC|FREEGULLIVER, LLC|509 OCTAVIA STREET||NEW ORLEANS LA 70115|USA|||  ||DENISE GUTTENBERG|504-899-0300|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, Other|APPROVED|01/30/2006|0|0|0|0|0|0
Atlanta District Office| 117109|801-66239|PLANNING FOR WEALTH, LLC|PLANNING FOR WEALTH, LLC|1900 ROSELAWN AVENUE||MONROE LA 71201|USA|||  ||BEN HULSEY|318-325-6500|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Publication of periodicals or newsletters|APPROVED|02/02/2006|0|0|0|0|0|0
Atlanta District 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|Financial planning services, 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|09/29/2003|0|0|0|0|0|0
Atlanta District Office| 117236|801-62527|KBOC, LLC|KOLTUN, BUCKMAN, ORTIZ CONSULTANTS, L.L.C.|600 CORPORATE BLVD.||BREAUX BRIDGE LA 70517|USA|PO BOX 130||BREAUX BRIDGE LA 70517|USA|JAY L. BUCKMAN|(949) 387-1550|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 District 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|APPROVED|01/03/2006|0|0|0|0|0|0
Atlanta District 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 District 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, Selection of other advisers, Other|APPROVED|07/06/2004|0|0|0|0|0|0
Atlanta District 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|APPROVED|01/03/2005|0|0|0|0|0|0
Atlanta District Office| 117816|801-44183|KUHN AND CARSON, INC.|KUHN AND CARSON, INC.|3622 LYCKAN PARKWAY|SUITE 1001|DURHAM NC 27707|USA|||  ||SUSAN CARSON|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 District Office| 117868|801-64467|MILLENNIUM INVESTMENT AND RETIREMENT ADVISORS, LLC|MILLENNIUM INVESTMENT AND RETIREMENT ADVISORS, LLC|1018 CLIFTWOOD DRIVE||SILER CITY NC 27344|USA|||  ||RICKY G. CANIPE|866-401-5477|Limited Liability Company|Financial planning services, Portfolio management 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|07/15/2005|0|0|0|0|0|0
Atlanta District Office| 117892|801-60849|VERATIS INVESTMENT GROUP, INC.|VERATIS INVESTMENT GROUP, INC.|125 EDINBURGH SOUTH|SUITE 204|CARY NC 27511-6484|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 District 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 District Office| 118014|801-61315|COPLEY INVESTMENT MANAGEMENT, LLC|RONALD EDWARD COPLEY|5025B WRIGHTSVILLE AVE||WILMINGTON NC 28403|USA|||  ||RONALD E. COPLEY|910 452-7147|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|08/02/2002|0|0|0|0|0|0
Atlanta District 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, Selection of other advisers, Other|APPROVED|06/14/2002|0|0|0|0|0|0
Atlanta District 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 District Office| 118296|801-64487|CAPSTONE INVESTMENT MANAGEMENT, LLC|CAPSTONE INVESTMENT 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 District 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 District Office| 118437|801-63919|CORNERSTONE INVESTMENT SERVICES, INC.|CORNERSTONE INVESTMENT SERVICES, INC.|7419-F QUAIL WOOD DRIVE||CHARLOTTE NC 28226|USA|4100 CARMEL RD.|BOX 310|CHARLOTTE NC 28226-7332|USA|DAVID HOSHOUR|704-543-0061|Corporation|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 District Office| 118442|801-63487|CAPITAL ADVISERS, INC.|CAPITAL ADVISERS, INC.|17 GLENWOOD AVENUE||RALEIGH NC 27603|USA|||  ||ROLAND JONES|919-831-2370|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 District 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 District 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 District 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 District Office| 118494|801-61700|QMA INVESTMENT MANAGEMENT, LLC|QMA INVESTMENT MANAGEMENT, LLC|5955 CARNEGIE BLVD.|SUITE 100|CHARLOTTE NC 28209|USA|||  ||CHRISTINE KRAUSE|704-556-1122|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 District 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), Other|APPROVED|08/22/2005|0|0|0|0|0|0
Atlanta District Office| 118614|801-62721|WEALTHHARBOR CAPITAL GROUP, LLC|WEALTHHARBOR CAPITAL GROUP, LLC|4227 CANAL STREET||NEW ORLEANS LA 70119|USA|973 VIA HERALDO|SUITE 100|THOUSAND OAKS CA 91320|UNITED STATES|SCOTT GRANDBOUCHE|504-486-7276|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|01/16/2004|0|0|0|0|0|0
Atlanta District 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 District Office| 118668|801-61330|GUARDIAN WEALTH MANAGEMENT, INC.|GUARDIAN WEALTH MANAGEMENT, INC.|6151 SHALLOWFORD ROAD||CHATTANOOGA TN 37421|USA|||  ||DAVID A. HODGES|423-510-0409|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|07/19/2002|0|0|0|0|0|0
Atlanta District Office| 118725|801-62185|DAVIDSON CAPITAL|DAVIDSON CAPITAL CORPORATION|705 PENINSULA DRIVE||DAVIDSON NC 28036|USA|||  ||JILL STIERLI|704-987-0288|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|07/09/2003|0|0|0|0|0|0
Atlanta District 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 District Office| 118826|801-60966|TRUSTMARK INVESTMENT ADVISORS, INC.|TRUSTMARK INVESTMENT ADVISORS, INC.|248 EAST CAPITOL STREET||JACKSON MS 39201|USA|P.O. BOX 291|SUITE 733|JACKSON MS 39205|USA|RHONDA LEAR|601-208-6090|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|03/01/2002|0|0|0|0|0|0
Atlanta District 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 District Office| 118937|801-61751|BLUE RIDGE TRUST|WILLIAM MICHAEL SMILEY|10333 OLD CAROLINA DRIVE||CHARLOTTE NC 28214|USA|3611-204 MT HOLLY-HUNTERSVILLE RD|#245|CHARLOTTE NC 28216|USA|W 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)|APPROVED|01/23/2003|0|0|0|0|0|0
Atlanta District 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 N. TULLOS|901-526-9750|Limited Liability Company|Portfolio management for investment companies, Selection of other advisers|APPROVED|04/05/2002|0|0|0|0|0|0
Atlanta District Office| 119081|801-60964|PRO NVEST, INC.|PRO NVEST, INC.|1203 CARTER STREET||CHATTANOOGA TN 37402|USA|||  ||JOHN HIMEBOOK|423-648-1876|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/26/2002|0|0|0|0|0|0
Atlanta District 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 District Office| 119148|801-63155|PROFESSIONAL ADVISORY SERVICES, LLC|PROFESSIONAL ADVISORY SERVICES, LLC|1665 DAVIE AVENUE||STATESVILLE NC 28677|USA|P.O. DRAWER 708||STATESVILLE NC 28687|USA|DOUG RALSTON|704-883-0284|Limited Liability Company|Financial planning services, Portfolio management 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 District Office| 119154|801-62593|STILLPOINT WEALTH MANAGEMENT, LLC|STILLPOINT WEALTH MANAGEMENT, LLC|3333 PEACHTREE RD., NE|SUITE 150|ATLANTA GA 30326|USA|||  ||JOHN F. RAY|404-467-0771|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|12/19/2003|0|0|0|0|0|0
Atlanta District 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 District 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, Market timing services|APPROVED|05/06/2005|0|1|0|0|0|0
Atlanta District 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 District Office| 119594|801-61002|GLOBAL ASSET ALTERNATIVES, LLC|GLOBAL ASSET ALTERNATIVES, LLC|1230 PEACHTREE STREET|SUITE 1150|ATLANTA GA 30309|USA|||  ||DENNIS E. PEMBERTON, JR.|404-347-8430|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|03/18/2002|0|0|0|0|0|0
Atlanta District Office| 119598|801-61056|SAPERE WEALTH MANAGEMENT, LLC|SAPERE WEALTH MANAGEMENT, LLC|130 MATTHEWS STATION ST. #6-A||MATTHEWS NC 28105|USA|||  ||SCOTT 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 District Office| 119630|801-63829|VERITAS ASSET MANAGEMENT, LLC|VERITAS ASSET MANAGEMENT, LLC|1103 BAY STREET||BEAUFORT SC 29902|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 District Office| 119655|801-63150|HANOVER ADVISORS, INC|HANOVER ADVISORS, INC|5400 LAUREL SPRINGS PARKWAY|SUITE 100|SUWANEE GA 30324|USA|||  ||STEPHEN MOLYNEAUX|678-947-0030|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/07/2004|0|0|0|0|0|0
Atlanta District 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 District 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|770-730-5011|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 District Office| 120238|801-62498|STATON FINANCIAL ADVISORS, LLC|STATON FINANCIAL ADVISORS, LLC|2431 HARTMILL COURT||CHARLOTTE NC 28226|USA|||  ||WILLIAM G. 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 District Office| 120434|801-61130|MUNICIPAL PORTFOLIO MANAGERS, INC.|MUNICIPAL PORTFOLIO MANAGERS, INC.|3475 PIEDMONT ROAD NE|SUITE 500|ATLANTA GA 30305|USA|||  ||NONA ETHRIDGE|404.239.9940|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|05/17/2002|0|0|0|0|0|0
Atlanta District Office| 120462|801-64519|BROYHILL WAKIN CAPITAL ADVISORS, LLC|BROYHILL WAKIN CAPITAL ADVISORS, LLC|800 GOLFVIEW PARK||LENOIR NC 28645|USA|P.O. BOX 500||LENOIR NC 28645|USA|DAN J. WAKIN|828-758-6100|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)|APPROVED|07/15/2005|0|0|0|0|0|0
Atlanta District 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 District 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 District Office| 120780|801-64141|BONAVENTURE CAPITAL, LLC|BONAVENTURE CAPITAL, LLC|820 SHADES CREEK PKWY., SUITE 2400||BIRMINGHAM AL 35209|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 District 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 District Office| 120876|801-61204|TANGLEWOOD ASSET MANAGEMENT LLC|TANGLEWOOD 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 businesses or institutional clients (other than investment companies)|APPROVED|05/28/2002|0|0|0|0|0|0
Atlanta District 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|FRANK M. ROGERS IV|843-665-6321|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|09/27/2002|0|0|0|0|0|0
Atlanta District 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 District Office| 121197|801-66301|HOLCOMBE & MCGRATH INC.|HOLCOMBE & MCGRATH, 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 District Office| 121375|801-61708|GIBSON GAITHER WEALTH MANAGEMENT ADVISORS|GIBSON GAITHER WEALTH MANAGEMENT ADVISORS, LLC|403 CHICKAMAUGA AVE|SUITE 103|ROSSVILLE GA 30741|USA|||  ||JOHN GAITHER|706-861-6400|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/10/2003|0|0|1|0|0|0
Atlanta District 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 District 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 District 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 District 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|KYLE R. BOYD|828-684-2600|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Other|APPROVED|11/10/2003|0|0|0|0|0|0
Atlanta District 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 District 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 District Office| 122875|801-65886|CHITWOOD ADVISORY GROUP|CHITWOOD ADVISORY GROUP|4956 VALLEYDALE ROAD||BIRMINGHAM AL 35242|USA|||  ||PATRICK RANKIN CHITWOOD|205-980-8113|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Publication of periodicals or newsletters|APPROVED|01/31/2006|0|0|0|0|0|0
Atlanta District Office| 123312|801-61789|FIRST SOUTHEAST FIDUCIARY & TRUST SERVICES, INC.|FIRST SOUTHEAST FIDUCIARY & TRUST SERVICES, INC.|34 BROAD STREET||CHARLESTON SC 29401|USA|||  ||STEPHEN D. BOWEN, III|(843) 724-0803|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|02/27/2003|0|0|0|0|0|0
Atlanta District Office| 123440|801-64253|WALLS INVESTMENT MANAGEMENT COMPANY|WALLS INVESTMENT MANAGEMENT COMPANY|10 PINCKNEY COLONY ROAD|BUILDING 300 SUITE # 314|BLUFFTON SC 29909|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 District Office| 123444|801-61590|LOOKOUT MOUNTAIN CAPITAL, INC.|LOOKOUT MOUNTAIN CAPITAL, INC.|610 NORTH BRAGG AVENUE||LOOKOUT MOUNTAIN TN 37350|USA|||  ||THEODORE C. CALDWELL|(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 District 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|Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|06/03/2003|0|0|0|0|0|0
Atlanta District 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 District 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 District Office| 124528|801-61671|GLOBAL STRATEGIES INVESTMENT MANAGEMENT, LLC|GLOBAL STRATEGIES INVESTMENT MANAGEMENT, LLC|3343 PEACHTREE ROAD|SUITE 1445|ATLANTA GA 30326|USA|||  ||CRAIG MAGHER|404-233-4429|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/02/2003|0|0|0|0|0|0
Atlanta District Office| 124586|801-61686|ENCOMPASS FINANCIAL INC.|ENCOMPASS FINANCIAL INC.|502 MEYERS DR.||GREENVILLE SC 29605|USA|||  ||CHRIS WHATLEY|864-423-5400|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|12/23/2002|0|0|0|0|0|0
Atlanta District Office| 124778|801-63817|ST. JOHN & ASSOCIATES, INC.|ST. JOHN & ASSOCIATES, INC.|500 SUN VALLEY DRIVE SUITE D-3||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, Other|APPROVED|02/04/2005|0|0|0|0|0|0
Atlanta District Office| 124916|801-64632|TWINSPAN CAPITAL MANAGEMENT, LLC|TWINSPAN CAPITAL MANAGEMENT, LLC|2556 APPLE VALLEY RD.|STE. 100|ATLANTA GA 30319-5426|USA|||  ||FREDERICK J. BARTON|678-904-8946|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/26/2005|0|2|0|0|0|0
Atlanta District 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 District Office| 125200|801-64261|CLARK CAPITAL MANAGEMENT, LLC|CLARK CAPITAL MANAGEMENT, LLC|3708 HAZEL LANE||GREENSBORO NC 27408|USA|||  ||DAVID M. CLARK, III|336-282-0056|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies|APPROVED|05/16/2005|0|0|0|0|0|0
Atlanta District Office| 125250|801-62089|WEALTHTRUST|WEALTHTRUST ADVISORS, INC.|102 WOODMONT BLVD, SUITE 600||NASHVILLE TN 37205|USA|||  ||MICHAEL K. HENRY|615-297-6884|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/23/2003|0|0|0|0|0|0
Atlanta District Office| 125268|801-62265|JPH ADVISORY GROUP, INC.|JPH ADVISORY GROUP, INC.|400 GALLERIA PARKWAY|SUITE 1820|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 District 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 District 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 District Office| 125376|801-63063|CENTERMARK CAPITAL MANAGEMENT, L.L.C|CENTERMARK CAPITAL MANAGEMENT, L.L.C.|19722 ONE NORMAN BLVD 220-240||CORNELIUS NC 28031|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), Pension consulting services, Selection of other advisers|APPROVED|05/14/2004|0|0|0|0|0|0
Atlanta District 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 District Office| 125427|801-61913|SOUTH FINANCIAL ASSET MANAGEMENT, INC.|SOUTH FINANCIAL ASSET MANAGEMENT, INC.|102 SOUTH MAIN STREET||GREENVILLE SC 29601|USA|||  ||JAMES C. MONROE|864-255-4768|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/25/2003|0|0|0|0|0|0
Atlanta District Office| 125489|801-63179|NOVA INVESTMENT GROUP, LLC|NOVA INVESTMENT GROUP, LLC|5591 CHAMBLEE-DUNWOODY ROAD|BUILDING 1370, SUITE 205|ATLANTA GA 30338|USA|||  ||JEFFREY COHEN|770/394-3281|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|05/27/2004|0|0|0|0|0|0
Atlanta District Office| 125549|801-62106|JOHN R. DAY & COMPANY, LLC|JOHN R. DAY & COMPANY, 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), Selection of other advisers|APPROVED|06/02/2003|0|0|0|0|0|0
Atlanta District Office| 125568|801-61868|TRINITY PLANNING AND CONSULTING LLC|COMPASS ADVISORY GROUP, LLC|213 OVERLOOK CIRCLE|BLDG. A|BRENTWOOD TN 37027|USA|||  ||STEPHEN HAMMERS|615-376-7890|Limited Liability Company|Financial 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|03/14/2003|0|0|0|0|0|0
Atlanta District Office| 125607|801-61872|BLUE GRANITE CAPITAL, LLC|BLUE GRANITE CAPITAL|18 NORTH ADGERS WHARF||CHARLESTON SC 29401|USA|||  ||SCOTT SHUBERT|843-722-7330|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/26/2003|0|1|0|0|0|0
Atlanta District Office| 125621|801-65240|CAPITAL RESEARCH ADVISORS, LLC|CAPITAL RESEARCH ADVISORS, LLC|1400 BUFORD HWY,|SUITE C-1|SUGAR HILL GA 30518|USA|||  ||JAMES EDWARD METZLOFF, JR.|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 District Office| 125728|801-61975|QED CAPITALWORKS LLC|QED CAPITALWORKS LLC|817 WEST PEACHTREE STREET NW|SUITE 400|ATLANTA GA 30808|USA|||  ||JEREMY STANDROD|(404) 760-3421|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/22/2003|0|1|0|0|0|0
Atlanta District Office| 125828|801-63080|CORNERSTONE MANAGEMENT, INC.|FINANCIAL ADVISORY CONSULTANTS,INC.|7074 PEACHTREE INDUSTRIAL BLVD.|SUITE 100|NORCROSS GA 30071|USA|||  ||RAY TYLER|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 District Office| 125829|801-65779|ARMSTRONG - SMITH PLANNING GROUP,LLC|ARMSTRONG - SMITH PLANNING GROUP,LLC|1200 COMMERCE DRIVE|SUITE 100|PEACHTREE CITY GA 30269|USA|||  ||WILLIAM A. ARMSTRONG|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 District 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, Publication of periodicals or newsletters|APPROVED|10/02/2003|0|0|0|0|0|0
Atlanta District Office| 126090|801-61989|SSN ADVISORY, INC.|SSN ADVISORY, INC.|10207 TECHNOLOGY DRIVE|SUITE ONE|KNOXVILLE TN 37932|USA|||  ||LORI KAMEN|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 District Office| 126145|801-61959|PATTON ALBERTSON & MILLER LLC|PATTON ALBERTSON & MILLER LLC|478 POPLAR STREET||MACON GA 31201|USA|||  ||JAMES B. PATTON|478.742.5554|Limited 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|04/23/2003|0|0|0|0|0|0
Atlanta District Office| 126241|801-65998|TOWNSEND  FINANCIAL|TOWNSEND PERSONAL FINANCIAL PLANNING, LLC|5 BRADLEY PARK COURT|SUITE 103|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 District Office| 126291|801-62193|CAPTRUST FINANCIAL ADVISORS|CAPFINANCIAL PARTNERS, LLC|8816 SIX FORKS ROAD|SUITE 301|RALEIGH NC 27615|USA|||  ||MICHAEL STROTHER|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 District 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 District Office| 126400|801-65530|COMPASS ADVISORS LLC|COMPASS ADVISORS LLC|4322 BRIGHTON WAY||KENNESAW GA 30144|USA|||  ||ROBERT MOODY|770-420-5433|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 District 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 District Office| 126456|801-61987|FAMILY WEALTH MANAGEMENT SERVICES INC.|FAMILY WEALTH MANAGEMENT SERVICES INC.|3155 ROSWELL ROAD|SUITE 320|ATLANTA GA 30305|USA|||  ||LESLIE W. ALLEN|404-961-1051|Corporation|Financial 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 District 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|APPROVED|10/09/2003|0|0|0|0|0|0
Atlanta District Office| 126514|801-62226|THE STRATEGIC FINANCIAL ALLIANCE|THE STRATEGIC FINANCIAL ALLIANCE, INC.|500 NORTHPARK BLDG., STE 400|1100 ABERNATHY ROAD|ATLANTA GA 30328|USA|||  ||CLIVE SLOVIN|678 274 1850|Corporation|Financial planning 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 District 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 District 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|J. QUINTON ABLES|(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 District 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 District Office| 127173|801-64515|NIAGARA FINANCIAL ADVISORS, LLC|NIAGARA FINANCIAL ADVISORS, LLC|4555 MANSELL ROAD SUITE 210||ALPHARETTA GA 30022|USA|||  ||SHAWN MEADE|678-527-2800|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|07/15/2005|0|0|0|0|0|0
Atlanta District Office| 127263|801-63180|MINERVA PLANNING GROUP|MINERVA PLANNING GROUP, INC.|111 TOLOMATO TRAIL||ST SIMONS ISLAND GA 31522|USA|P.O. BOX 24479||ST SIMONS ISLAND GA 31522|USA|SANDRA 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), Other|APPROVED|05/27/2004|0|0|0|0|0|0
Atlanta District Office| 127325|801-62566|FORESIGHT ASSET MANAGEMENT|FORESIGHT ASSET MANAGEMENT|24695 DEER RIDGE LANE||ATHENS AL 35613|USA|||  ||MICHAEL BISSELL|256-230-0783|Limited Liability Company|Portfolio management for investment companies|APPROVED|01/02/2004|0|0|0|0|0|0
Atlanta District 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 District 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 District 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, Market timing services, Other|APPROVED|09/02/2005|0|0|0|0|0|0
Atlanta District Office| 127541|801-62200|BOLTON ASSET MANAGEMENT, LLC|BOLTON ASSET MANAGEMENT, LLC|775 RIDGE LAKE BLVD.,SUITE 100||MEMPHIS TN 38120|USA|||  ||ROBERT V. CORNISH, JR.|901-766-4450|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/24/2003|0|0|0|0|0|0
Atlanta District Office| 127567|801-64840|CEDARHOLM & EUGENIAS, LLC|CEDARHOLM & EUGENIAS, LLC|110 BAY STREET||GADSDEN AL 35901|USA|||  ||VELDA EUGENIAS|256/547-7237|Limited 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|11/04/2005|0|0|0|0|0|0
Atlanta District Office| 127762|801-62225|SYNOVUS INVESTMENT ADVISORS, INC.|SYNOVUS INVESTMENT ADVISORS, INC.|1234 1ST AVENUE||COLUMBUS GA 31901|USA|P.O. BOX 120||COLUMBUS GA 31902|USA|CYNTHIA A. HELMS|706-644-9735|Corporation|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|07/23/2003|0|0|0|0|0|0
Atlanta District Office| 127773|801-62259|IRON CAPITAL ADVISORS INC.|IRON CAPITAL ADVISORS INC.|7000 PEACHTREE DUNWOODY ROAD|BUILDING #5|ATLANTA GA 30328|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 District 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, Other|APPROVED|08/13/2003|0|0|0|0|0|0
Atlanta District Office| 127902|801-62249|BLUE CREEK INVESTMENT PARTNERS, LLC|BLUE CREEK INVESTMENT PARTNERS, LLC|203 GREENE STREET|3RD FLOOR|HUNTSVILLE AL 35801|USA|||  ||ROBERT MAYES|256-704-5111|Limited Liability Company|Financial planning 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 District Office| 128335|801-62362|WHITE HORSE ADVISORS, LLC|WHITE HORSE ADVISORS, LLC|6151 POWERS FERRY ROAD|SUITE 400|ATLANTA GA 30339|USA|||  ||JEFF WERONICK|6783223000|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|09/15/2003|0|0|0|0|0|0
Atlanta District 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 District Office| 128390|801-62357|GREYBULL PARTNERS LLC|GREYBULL PARTNERS LLC|75 FOURTEENTH STREET|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 investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/17/2003|0|0|0|0|0|0
Atlanta District Office| 128583|801-62409|STEPHEN WILLIAMS INVESTMENT SERVICES, INC.|STEPHEN WILLIAMS INVESTMENT SERVICES, INC.|2227 DRAKE AVENUE, SUITE 9||HUNTSVILLE AL 35805|USA|||  ||STEPHEN J. WILLIAMS|256-489-4400|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/02/2004|0|0|0|0|0|0
Atlanta District Office| 128703|801-62608|HATTERAS INVESTMENT PARTNERS LLC|HATTERAS INVESTMENT PARTNERS LLC|8816 SIX FORKS ROAD, SUITE #107||RALEIGH NC 27615|USA|||  ||DENISE BUCHANAN|(919) 846-2324|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|12/17/2003|0|0|0|0|0|0
Atlanta District Office| 129245|801-62673|INDEPENDENCE TRUST COMPANY|INDEPENDENCE TRUST COMPANY|325 BRIDGE STREET||FRANKLIN TN 37064-2609|USA|P.O. BOX 682188||FRANKLIN TN 37068-2188|USA|MARCIA E. WILLIAMS|615-591-0044|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|01/30/2004|1|0|0|0|0|0
Atlanta District Office| 129273|801-62508|HELTON ASSET MANAGEMENT, INC.|HELTON ASSET MANAGEMENT, INC.|4653 OLDE TOWNE PARKWAY||MARIETTA GA 30068|USA|||  ||JOHN M. HELTON, JR|770-579-5225|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/21/2003|0|0|0|0|0|0
Atlanta District Office| 129402|801-62681|AURA ASSET MANAGEMENT, INC.|AURA ASSET MANAGEMENT, INC.|600 BEACON PARKWAY WEST|SUITE 950|BIRMINGHAM AL 35209|USA|||  ||KURT WESELIUS|205-795-2545|Corporation|Financial planning services, Portfolio management for 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 District Office| 129403|801-63917|THE MOORINGS GROUP, LLC|THE MOORINGS GROUP, LLC|FIVE CONCOURSE PARKWAY|SUITE 2420|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 District 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 District Office| 129613|801-63624|WILLINGDON WEALTH MANAGEMENT INC.|WILLINGDON WEALTH MANAGEMENT INC.|829 CONCORD ROAD||DAVIDSON NC 28036|USA|12345 WILLINGDON ROAD||HUNTERSVILLE NC 28209|USA|LEWIS M. KAYES, III|704-895-8958|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 District 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 District 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|Other|APPROVED|02/19/2004|0|0|0|0|0|0
Atlanta District Office| 129719|801-63253|LAKEWOOD WEALTH MANAGEMENT, INC.|LAKEWOOD WEALTH MANAGEMENT, INC.|105 WESTPARK DRIVE, SUITE 420||BRENTWOOD TN 37027|USA|||  ||ROBERT BARNACK|615-324-1220|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/18/2004|0|0|0|0|0|0
Atlanta District 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 businesses or institutional clients (other than investment companies)|APPROVED|01/14/2004|0|0|0|0|0|0
Atlanta District 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|E.W. SANDERS III|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 District Office| 129973|801-62643|DIVIDEND GROWTH ADVISORS|DIVIDEND GROWTH ADVISORS, LLC|108 TRADERS CROSS|SUITE 105|BLUFFTON SC 29910|USA|||  ||TROY SHAVER|843.705.6690|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies|APPROVED|01/02/2004|0|0|0|0|0|0
Atlanta District Office| 129981|801-62747|BUIE INVESTMENT ADVISORS, LLC|BUIE INVESTMENT ADVISORS, LLC|5935 CREOLA ROAD||CHARLOTTE NC 28270|USA|||  ||RODERICK J. BUIE|704/362-2139|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|01/30/2004|0|0|0|0|0|0
Atlanta District 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 District Office| 130286|801-63921|CLEARPOINT CAPITAL, L.L.C.|CLEARPOINT CAPITAL, L.L.C.|365 GRAND AVE., SUITE A||FAIRHOPE AL 36532|USA|||  ||ANDY MIDKIFF|251-928-1551|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/24/2005|0|0|0|0|0|0
Atlanta District 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 District Office| 130335|801-63016|IRONSTONE SECURITIES, INC.|IRONSTONE SECURITIES, INC.|3128 SMOKETREE COURT||RALEIGH NC 27604|USA|||  ||JOHN QUIGLEY|919-716-8542|Corporation|Financial planning services, 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 District Office| 130449|801-63190|COURAGE CAPITAL MANAGEMENT, LLC|COURAGE CAPITAL MANAGEMENT, LLC|4400 HARDING ROAD, SUITE 503||NASHVILLE TN 37205|USA|||  ||LAURIE HINKLE|615-369-0104|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/21/2004|0|0|0|0|0|0
Atlanta District Office| 130567|801-62928|SWEENEY ASSET MANAGEMENT LLC|SWEENEY ASSET MANAGEMENT LLC|911 STUART LANE||BRENTWOOD TN 37027|USA|||  ||J. ROBERT SWEENEY|615-376-4767|Limited Liability Company|Financial planning 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 District Office| 130791|801-62919|RESOURCE MANAGEMENT SERVICE, LLC|RESOURCE MANAGEMENT SERVICE, LLC|100 CORPORATE RIDGE|P.O. B0X 380757|BIRMINGHAM AL 35238|USA|||  ||PHILLIP WOODS|205-980-7307|Limited Liability Company|Other|APPROVED|02/20/2004|0|0|0|0|0|0
Atlanta District Office| 130845|801-63102|CAMBIUM CAPITAL MANAGEMENT, LLC|CAMBIUM CAPITAL MANAGEMENT, LLC|6805 MORRISON BOULEVARD|SUITE 450|CHARLOTTE NC 28211|USA|||  ||JANE HUDSON|704-731-5450|Limited Liability Company|Other|APPROVED|05/07/2004|0|0|0|0|0|0
Atlanta District Office| 130888|801-63297|STERNE AGEE INVESTMENT ADVISORS, INC.|STERNE AGEE INVESTMENT ADVISORS, INC.|800 SHADES CREEK PARKWAY|SUITE 700|BIRMINGHAM AL 35209|USA|||  ||CAROL S. KENNEDY|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 District Office| 131103|801-63062|POINTER CAPITAL, LLC|POINTER CAPITAL, LLC|50 HURT PLAZA|SUITE 222|ATLANTA GA 30303|USA|||  ||MALON COURTS|404-614-6183|Limited Liability Company|Other, 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 District Office| 131111|801-63006|VEF ADVISORS, LLC|VEF ADVISORS, LLC|TOWER PLACE 100 SUITE 1660|3340 PEACHTREE ROAD N.E.|ATLANTA GA 30326|USA|||  ||STAN BREON|678-538-1915|Limited Liability Company|Other|APPROVED|04/09/2004|0|0|0|0|0|0
Atlanta District 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 District Office| 131447|801-65796|PEF ADVISORS, LLC|PEF ADVISORS, LLC|300 MANSELL COURT EAST|SUITE 260|ROSWELL GA 30076|USA|||  ||PAUL T. MANNION, JR.|678-353-2190|Limited Liability Company|Other|APPROVED|01/25/2006|0|0|0|0|0|0
Atlanta District Office| 131539|801-63263|STRUCTURED ASSET INVESTORS, LLC|STRUCTURED ASSET INVESTORS, LLC|301 S. COLLEGE ST.|8TH FLOOR|CHARLOTTE NC 28288|USA|||  ||BRIAN M. MORAN|704-715-9636|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 District 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 District Office| 131569|801-65067|HMS FINANCIAL SERVICES, LLC|HMS FINANCIAL SERVICES, LLC|6 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), Pension consulting services|APPROVED|01/23/2006|0|0|0|0|0|0
Atlanta District Office| 131715|801-63355|AKELA CAPITAL LLC|AKELA CAPITAL LLC|1001 WINSTEAD DRIVE|SUITE 455|CARY NC 27513-2130|USA|||  ||KEVIN KOHLES|919-677-6651|Limited Liability Company|Other|APPROVED|07/16/2004|0|0|0|0|0|0
Atlanta District 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 District 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|Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|07/09/2004|0|0|0|0|0|0
Atlanta District Office| 131828|801-63366|LAKESHORE CAPITAL, LLC|LAKESHORE CAPITAL, LLC|2200 LAKE SHORE PARKWAY|SUITE 225|BIRMINGHAM AL 35209-6650|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 District Office| 132022|801-64349|INVESTORS RESEARCH CORPORATION|INVESTORS RESEARCH CORPORATION|1503 NORTHSIDE DRIVE|SUITE B|ATLANTA GA 30318|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 District Office| 132163|801-63459|G2 ADVISORS, LLC|G2 ADVISORS, LLC|6075 POPLAR AVENUE|SUITE 322|MEMPHIS TN 38119|USA|||  ||BILLY DUTTON JR|901-259-6300|Limited Liability Company|Selection of other advisers|APPROVED|09/03/2004|0|0|0|0|0|0
Atlanta District Office| 132230|801-64634|YIELDQUEST ADVISORS, LLC|YIELDQUEST ADVISORS, LLC|3575 PIEDMONT ROAD|SUITE 1550|ATLANTA GA 30305|USA|||  ||DAVID SUMMERS|404-446-3370|Limited Liability Company|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|08/26/2005|0|0|0|0|0|0
Atlanta District 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|Portfolio management 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|07/30/2004|0|0|0|0|0|0
Atlanta District Office| 132413|801-63405|STRATFORD ADVISORS, INC.|STRATFORD ADVISORS, INC.|2150 COUNTRY CLUB ROAD|SUITE 205|WINSTON SALEM NC 27104|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 District 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|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/18/2004|0|0|0|0|0|0
Atlanta District 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 District Office| 132559|801-65585|CENTENNIAL PARTNERS, LLC|CENTENNIAL PARTNERS, LLC|6075 POPLAR AVENUE, SUITE 700||MEMPHIS TN 38119|USA|||  ||TINA BADCIONG|(901) 969-1390|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 District Office| 132561|801-63496|SOUTHEAST INVESTMENTS N.A., INC|FRANK BLACK INC.|820 TYVOLA RD.|SUITE 104|CHARLOTTE NC 28217|USA|||  ||FRANK H. BLACK|704-527-7873|Corporation|Portfolio management for individuals and/or small businesses, Market timing services|APPROVED|09/22/2004|0|4|0|0|0|0
Atlanta District Office| 132715|801-63535|SWIFTWATER CAPITAL MANAGEMENT, LP|SWIFTWATER CAPITAL MANAGEMENT, LP|856 S. PLEASANTBURG DRIVE||GREENVILLE SC 29607|U.S.A.|||  ||JOHN B. HELMERS|864-235-4711|Other (specify)|Other|APPROVED|09/24/2004|0|0|0|0|0|0
Atlanta District Office| 132745|801-64399|GYRE INVESTMENT ADVISORS, LLC|GYRE INVESTMENT ADVISORS, LLC|817 W. PEACHTREE STREET, N.W.|SUITE 910|ATLANTA GA 30308|U.S.A.|||  ||KYLE PHILIPP|404-961-7170|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/03/2005|0|0|0|0|0|0
Atlanta District Office| 132844|801-63560|CKS ADVISORS, LLC|CKS ADVISORS, 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 District Office| 132949|801-63784|HARMONY INVESTMENT MANAGEMENT, INC.|HARMONY INVESTMENT MANAGEMENT, INC.|103 CONTINENTAL PLACE|SUITE 100|BRENTWOOD TN 37027-1042|USA|||  ||CINDY G PHILLIPS|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 District 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 District 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 District Office| 133038|801-64431|ALLEN WEALTH MANAGEMENT, LLC|ALLEN WEALTH MANAGEMENT, LLC|468 NEW MARKET BOULEVARD|SUITE B|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 District 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, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|10/20/2004|0|0|0|0|0|0
Atlanta District Office| 133204|801-64191|WACHOVIA ALTERNATIVE STRATEGIES, INC.|WACHOVIA ALTERNATIVE STRATEGIES, INC.|401 SOUTH TRYON STREET||CHARLOTTE NC 28202|USA|||  ||BARBARA A. LAPPLE|704-383-6419|Corporation|Selection of other advisers, Other|APPROVED|05/13/2005|0|0|1|0|0|0
Atlanta District Office| 133247|801-63713|RETIREMENT PLANNING SERVICES, INC.|RETIREMENT PLANNING SERVICES, INC.|1062 OAK RIDGE TURNPIKE|SUITE 200|OAK RIDGE TN 37830-6479|USA|||  ||BETH BLAIR|865/220-9311|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/14/2004|0|0|0|0|0|0
Atlanta District Office| 133279|801-63626|WESTEND ADVISORS, LLC|WESTEND ADVISORS, LLC|4064 COLONY ROAD|SUITE 130|CHARLOTTE NC 28211|USA|||  ||ROBERT L. PHARR|(704) 556-9300|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)|APPROVED|03/18/2005|0|0|0|0|0|0
Atlanta District Office| 133293|801-63783|INVESTMENT PLANNING SERVICES|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, Other|APPROVED|01/03/2005|0|0|0|0|0|0
Atlanta District Office| 133372|801-63672|SIMPLIFI|SIMPLIFI, LLC|101 N. CHESTNUT STREET|SUITE 208|WINSTON-SALEM NC 27101|USA|||  ||CHARLES BRYAN LINK|336-499-6086|Limited Liability Company|Financial planning services|APPROVED|01/03/2005|0|0|0|0|0|0
Atlanta District Office| 133509|801-63831|CANNON FINANCIAL STRATEGISTS, INC.|CANNON FINANCIAL STRATEGISTS, INC.|649-8 SOUTH MILLEDGE AVE||ATHENS GA 30605|US|||  ||GEORGE H. WILLIAMS|706-548-3422|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|01/14/2005|0|0|0|0|0|0
Atlanta District Office| 133529|801-63762|FINANCIAL JUNK LLC|FINANCIAL JUNK LLC|2116 HOBBS ROAD|M4|NASHVILLE TN 37215|USA|||  ||ANGELA SCOTT|615-383-2654|Limited Liability Company|Portfolio management for investment companies, Publication of periodicals or newsletters|APPROVED|01/05/2005|0|0|0|0|0|0
Atlanta District 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 COMMISKEY|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 District Office| 133673|801-63967|GALLERIA FINANCIAL ADVISORS, LLC|GALLERIA FINANCIAL ADVISORS, LLC|351 PINE VALLEY ROAD||MARIETTA GA 30067|USA|||  ||GARY E. WELD|770-329-8262|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 District Office| 133826|801-63822|LEPHEW FINANCIAL SERVICES, INC.|LEPHEW FINANCIAL SERVICES, INC.|452 LAKESHORE PARKWAY|SUITE 115|ROCK HILL SC 29730|USA|||  ||PAULEEN YOUNG|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 District 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 District 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 District Office| 134183|801-63964|JS ASSET MANAGEMENT|JS ASSET MANAGEMENT|10800 SIKES PLACE|SUITE 110|CHARLOTTE NC 28277|USA|||  ||MARVIN BARGE|678-758-1000|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|02/16/2005|0|0|0|0|0|0
Atlanta District Office| 134200|801-63981|ARMOR INVESTMENT ADVISORS, LLC|ARMOR INVESTMENT ADVISORS, LLC|4505 FAIR MEADOW LANE|SUITE 222|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 District 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|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/09/2005|0|0|0|0|0|0
Atlanta District 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, Portfolio management 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|02/17/2005|0|0|0|0|0|0
Atlanta District Office| 134834|801-64350|INVESTLINC WEALTH MANAGEMENT GROUP, LLC|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 District Office| 134838|801-64127|SKYHAWK CAPITAL MANAGEMENT, LLC|SKYHAWK CAPITAL MANAGEMENT, LLC|1000 RIDGEWAY LOOP|SUITE 210|MEMPHIS TN 38120|USA|||  ||MATTHEW KINNEAR|901-202-5030|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/19/2005|0|0|0|0|0|0
Atlanta District Office| 135037|801-64137|WEAVER CAPITAL MANAGEMENT, LLC|WEAVER CAPITAL MANAGEMENT, LLC|5400 LAUREL SPRINGS PKWY|SUITE 303|SUWANEE GA 30024|USA|||  ||DEWITT WEAVER|678-341-1333|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|03/31/2005|0|0|0|0|0|0
Atlanta District Office| 135287|801-64581|ASPEN PARTNERS, LTD.|ASPEN PARTNERS, LTD.|817 W. PEACHTREE STREET NW|SUITE 400|ATLANTA GA 30308|USA|||  ||ADAM LANGLEY|404-879-5130|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED-120|08/18/2005|0|1|0|0|0|0
Atlanta District 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 District 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|Portfolio management for individuals and/or small businesses|APPROVED-120|05/18/2005|0|0|0|0|0|0
Atlanta District 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 District Office| 135581|801-64568|VISIONQUEST WEALTH MANAGEMENT, LLC|VISIONQUEST WEALTH MANAGEMENT, LLC|430 DAVIS DRIVE|SUITE 230|MORRISVILLE NC 27560|USA|||  ||STEPHEN CONDON PETERS|866-219-6990|Limited Liability Company|Financial planning services, Portfolio management for 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|08/12/2005|0|0|0|0|0|0
Atlanta District 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 District Office| 136214|801-64708|FINANCIAL NETWORK CORPORATION|FINANCIAL NETWORK CORPORATION|1100 JOHNSON FERRY RD NE|STE 420|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 District 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|APPROVED|08/05/2005|0|0|0|0|0|0
Atlanta District Office| 136621|801-64680|INTEGER WEALTH ADVISORS GROUP, LLC|INTEGER WEALTH ADVISORS GROUP, LLC|3752 CHEROKEE STREET|SUITE 102|KENNESAW GA 30144|USA|2090 BAKER ROAD|SUITE 304-194|KENNESAW GA 30144|USA|SAVERIO N. PAGLIONI|770-420-6363|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), Selection of other advisers|APPROVED|09/02/2005|0|0|0|0|0|0
Atlanta District Office| 136659|801-64704|CARDINAL WEALTH ADVISORY, LLC|CARDINAL WEALTH ADVISORY, LLC|5100 POPLAR AVENUE, SUITE 814||MEMPHIS TN 38137|USA|||  ||DANIEL TALMADGE KEEL III|901-821-9986|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED-120|09/16/2005|0|0|0|0|0|0
Atlanta District Office| 136743|801-64855|JOHNSON STERLING PAUL RETIREMENT SERVICES, INC.|JOHNSON STERLING PAUL RETIREMENT SERVICES, INC.|820 SHADES CREEK PARKWAY|SUITE 3200|BIRMINGHAM AL 35209|USA|||  ||ELIZABETH RUTHERFORD|(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, Selection of other advisers|APPROVED|10/26/2005|0|0|0|0|0|0
Atlanta District Office| 136857|801-64665|MCCORMACK FINANCIAL PLANNING INC.|MCCORMACK FINANCIAL PLANNING INC.|1100 JOHNSON FERRY NE|STE 430|ATLANTA GA 30342|USA|||  ||SANDRA BOSHEARS TAWSE|404-236-7316|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|08/31/2005|0|0|0|0|0|0
Atlanta District Office| 136885|801-64759|THE SYMPHONY WEALTH MANAGEMENT GROUP, LLC|THE SYMPHONY WEALTH MANAGEMENT GROUP, LLC|400 COLONY SQUARE|1201 PEACHTREE STREET, N.E., SUITE 1004|ATLANTA GA 30361|USA|||  ||CHRIS S. BACH|404-442-4450|Limited Liability Company|Portfolio management for investment companies|APPROVED-120|09/29/2005|0|0|0|0|0|0
Atlanta District Office| 137192|801-64842|LIVE OAK ADVISORS, LLC|LIVE OAK ADVISORS, LLC|7 ARLEY WAY||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-120|10/25/2005|0|0|0|0|0|0
Atlanta District Office| 137283|801-64909|PYM WALTMAN CAPITAL, LLC|PYM 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, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED-120|12/09/2005|0|0|0|0|0|0
Atlanta District Office| 137328|801-65337|ASI|ASSIDUOUS STRATEGIC INVESTMENTS, LLC|201 S. TRYON STREET|SUITE 825|CHARLOTTE NC 28202|USA|||  ||JOHN G. SIMMONS|704-943-5555|Limited Liability Company|Other|APPROVED|01/23/2006|0|0|0|0|0|0
Atlanta District 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-120|01/19/2006|0|0|0|0|0|0
Atlanta District Office| 137844|801-65258|GMT CAPITAL CORP.|GMT CAPITAL CORP.|2100 RIVEREDGE PARKWAY|SUITE 840|ATLANTA GA 30328|USA|||  ||GEORGE E. CASE, III|(770) 989-8261|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
Atlanta District Office| 137854|801-65370|AFTON CAPITAL MANAGEMENT LLC|AFTON CAPITAL MANAGEMENT LLC|120 COTTAGE PLACE||CHARLOTTE NC 28207|USA|||  ||CAMP JENKINS|(704) 887-2481|Limited Liability Company|Other|APPROVED|01/23/2006|0|0|0|0|0|0
Atlanta District Office| 138077|801-64925|QUADRANT REAL ESTATE ADVISORS LLC|QUADRANT REAL ESTATE ADVISORS LLC|12735 MORRIS ROAD||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 District Office| 138100|801-65482|KEANE CAPITAL MANAGEMENT, INC.|KEANE CAPITAL MANAGEMENT, INC.|3440 TORINGDON WAY|SUITE 308|CHARLOTTE NC 28277|USA|||  ||EDWARD SLACK|704-364-3250|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/23/2006|0|0|0|0|0|0
Atlanta District Office| 138132|801-65318|PRESIDIUM|PRESIDIUM RETIREMENT ADVISERS, INC.|6047 TYVOLA GLEN CIRCLE|SUITE 117|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, Other|APPROVED-120|01/18/2006|0|0|0|0|0|0
Atlanta District Office| 138151|801-65765|GRATUS CAPITAL MANAGEMENT, LLC|GRATUS CAPITAL MANAGEMENT, LLC|2002 SUMMIT BOULEVARD|SUITE 825|ATLANTA GA 30319|USA|||  ||JANA HUNTER|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-120|01/26/2006|0|0|0|0|0|0
Atlanta District Office| 138201|801-65466|APTUS CAPITAL LLC|APTUS CAPITAL LLC|2311 HIGHLAND AVENUE|SUITE 340|BIRMINGHAM AL 35205|USA|||  ||TIMOTHY CALISE|205-933-6500|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/24/2006|0|0|0|0|0|0
Atlanta District Office| 138210|801-64994|ATLANTES FINANCIAL ADVISORS|ATLANTES FINANCIAL ADVISORS CORP|365 GRAND AVENUE, SUITE  "A"||FAIRHOPE AL 36532|USA|||  ||JOHN P. BRANDON|251-928-1551|Corporation|Financial 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|01/04/2006|0|0|0|0|0|0
Atlanta District 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 District Office| 138240|801-65005|MMPWM, INC.|MITCHELL,  MCLEOD,  PUGH & WILLIAMS,  INC.|50 NORTH FLORIDA STREET|SUITE 200|MOBILE AL 36607|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|APPROVED-120|01/13/2006|0|0|0|0|0|0
Atlanta District Office| 138401|801-65690|MORGAN CREEK CAPITAL MANAGEMENT, LLC|MORGAN CREEK CAPITAL MANAGEMENT, LLC|1414 RALEIGH ROAD|SUITE 445|CHAPEL HILL NC 27517|USA|||  ||NEIL T. KUYPER|919-933-4004|Limited Liability Company|Selection of other advisers, Other|APPROVED|01/26/2006|0|0|0|0|0|0
Atlanta District Office| 138420|801-65081|GEORGE VAN & COMPANY|GEORGE VAN & COMPANY, LLC|ONE AMERICAN CENTER|3100 WEST END AVE. SUITE 250|NASHVILLE TN 37203|USA|||  ||OLGA TANSIL|615-324-5894|Limited Liability Company|Selection of other advisers|APPROVED|01/10/2006|0|0|0|0|0|0
Atlanta District Office| 138600|801-65663|ANDERSON GROWTH PARTNERS, LLC|ANDERSON GROWTH PARTNERS, LLC|201 SOUTH COURT STREET|SUITE 610|FLORENCE AL 35630|USA|||  ||CODY WILSON|205-948-0726|Limited Liability Company|Other|APPROVED|01/27/2006|0|0|0|0|0|0
Atlanta District Office| 138652|801-66096|COMMISSUM CAPITAL MANAGEMENT, LLC|COMMISSUM CAPITAL MANAGEMENT, LLC|850 RIDGE LAKE BOULEVARD|SUITE ONE|MEMPHIS TN 38120|USA|||  ||KIMBERLY GULLETT|901-322-8506|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/08/2006|0|0|0|0|0|0
Atlanta District 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|Other|APPROVED|01/31/2006|0|0|0|0|0|0
Atlanta District Office| 138823|801-65217|HIGHLAND GOOD STEWARD MANAGEMENT, LLC|HIGHLAND GOOD STEWARD MANAGEMENT, LLC|2545 HIGHLAND AVENUE|SUITE 200|BIRMINGHAM AL 35205|USA|||  ||LAWSON, JOYCE K|205-939-8314|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 District Office| 138858|801-65727|EAGLE FINANCIAL MANAGEMENT SERVICES, LLC|EAGLE FINANCIAL MANAGEMENT SERVICES, LLC|400 TRAVIS ST|SUITE 215|SHREVEPORT LA 71101|USA|||  ||JACK DITT|318-798-9457|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED-120|01/27/2006|0|0|0|0|0|0
Atlanta District Office| 138947|801-65576|CHI-RHO FINANCIAL, LLC|CHI-RHO FINANCIAL, LLC|3295 RIVER EXCHANGE DRIVE|SUITE 275|NORCROSS GA 30092|USA|||  ||JOE B. HURLEY, IV|678-731-0032|Limited Liability Company|Selection of other advisers|APPROVED|01/26/2006|0|0|0|0|0|0
Atlanta District Office| 138952|801-65643|BEACON MANAGEMENT, L.P.|BEACON MANAGEMENT, L.P.|1776 PEACHTREE ROAD|SUITE 705 SOUTH|ATLANTA GA 30309|USA|||  ||LESLIE J. WISE|404-881-9550|Other (specify)|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
Atlanta District Office| 138988|801-66077|COLONIAL INVESTMENT COUNSEL, LLC|COLONIAL INVESTMENT COUNSEL, LLC|174 QUEEN STREET||CHARLESTON SC 29401|USA|||  ||F. JOHN HERRMANN|843-853-9416|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-120|02/15/2006|0|0|0|0|0|0
Atlanta District Office| 139110|801-66212|BARRIER INVESTMENTS, LLC|BARRIER INVESTMENTS, LLC|17 WEST PONTOTOC AVENUE|SUITE 100|MEMPHIS TN 38103|USA|||  ||G. DEMETRI PATIKAS|901-432-4750|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|01/31/2006|0|0|0|0|0|0
Atlanta District Office| 139417|801-66279|SALZINGER ASSET MANAGEMENT, LLC|SALZINGER ASSET MANAGEMENT, LLC|2326 TALAMILL DRIVE||MARIETTA GA 30066|USA|4206 HEYWARD PLACE||INDIANAPOLIS IN 46250|USA|MARK SALZINGER|703-244-1540|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|03/06/2006|0|0|0|0|0|0
Atlanta District 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)|APPROVED|02/01/2006|0|0|0|0|0|0
Atlanta District Office| 139592|801-66254|CAROLOPOLIS FAMILY WEALTH MANAGEMENT, INC.|CAROLOPOLIS FAMILY WEALTH MANAGEMENT, INC.|198 EAST BAY STREET SUITE 305||CHARLESTON SC 29401|USA|||  ||BRENT E. BENTRIM|843-278-0061|Corporation|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
Atlanta District 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
Boston District Office|     10|801-12768|ADVEST, INC.|ADVEST, INC.|90 STATE HOUSE SQUARE||HARTFORD CT 06103|USA|||  ||PETER SILBO|860 509-1000 X2437|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/02/1977|0|32|1|0|0|0
Boston District Office|    265|801-41722|ESI FINANCIAL ADVISORS|EQUITY SERVICES, INC.|ONE NATIONAL LIFE DRIVE||MONTPELIER VT 05604|USA|||  ||STEPHEN A. ENGLESE|802-229-7352|Corporation|Financial planning services, Portfolio management for 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|0|8|0|0|0|0
Boston District Office|    468|801-56298|SIGNATOR INVESTORS, INC.|SIGNATOR INVESTORS, INC.|197 CLARENDON STREET|C-8|BOSTON MA 02116|USA|||  ||WENDY BENSON|617-572-9534|Corporation|Financial planning 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|36|0|0|0|0
Boston District Office|    615|801-47061|NEW ENGLAND SECURITIES CORPORATION|NEW ENGLAND SECURITIES CORPORATION|501 BOYLSTON STREET||BOSTON MA 02116|USA|ONE METLIFE PLAZA|27-01 QUEEN PLAZA NORTH|LONG ISLAND CITY NY 11101|USA|LEONARD BAKAL|212.578.5364|Corporation|Financial planning services, 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|12|1|0|0|0
Boston District 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 District Office|    833|801-50585|TOWER SQUARE SECURITIES, INC.|TOWER SQUARE SECURITIES, INC.|ONE CITYPLACE|18TH FLOOR|HARTFORD CT 06103-3415|USA|27-01 QUEENS PLAZA NORTH|1 METLIFE PLAZA|LONG ISLAND CITY NY 11101|U.S.A.|LEONARD M. BAKAL|(212) 578-5364|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|11/28/1995|0|33|5|0|0|0
Boston District Office|   1794|801-66121|DETWILER, MITCHELL, FENTON & GRAVES, INC.|DETWILER, MITCHELL FENTON & GRAVES, INC.|225 FRANKLIN ST.|20TH FLOOR|BOSTON MA 02110|USA|||  ||ROBERT JEFFORDS|617-747-0115|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|02/17/2006|0|4|0|0|0|1
Boston District Office|   2107|801-64330|BENEFIT INVESTMENT ADVISORS, INC.|BENEFIT INVESTMENT ADVISORS, INC.|140 KENNEDY DRIVE|PO 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|APPROVED|05/24/2005|0|0|0|0|0|0
Boston District Office|   2682|801-8059|MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY|MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY|1295 STATE STREET|LAW DIVISION B379|SPRINGFIELD MA 01111-0001|USA|||  ||KINZLER, THOMAS MICHAEL|413-744-8632|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|12/04/1971|0|46|2|0|0|0
Boston District 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 District Office|   3255|801-12471|D.J. ST. GERMAIN CO., INC|D.J. ST. GERMAIN CO., INC.|1500 MAIN ST||SPRINGFIELD MA 01115|USA|||  ||PAUL J VALICKUS|(800) 443-7624|Corporation|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 District Office|   3870|801-23151|JEFFERSON PILOT SECURITIES CORP|JEFFERSON PILOT SECURITIES CORPORATION|ONE GRANITE PL||CONCORD NH 03301|USA|||  ||MICHAEL W. BOURGAULT|603 226-5983|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|02/07/1985|0|8|1|0|0|0
Boston District Office|   5249|801-61185|JOHN HANCOCK DISTRIBUTORS LLC|JOHN HANCOCK DISTRIBUTORS LLC|601 CONGRESS STREET||BOSTON MA 02210|USA|P.O. BOX 4700||BUFFALO NY 14240-4700|USA|CHRISTOPHER WALKER|(416) 926-6334|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|06/14/2002|0|1|1|0|0|0
Boston District 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 District Office|   6413|801-10970|LINSCO/PRIVATE LEDGER CORP.|LINSCO/PRIVATE LEDGER 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|Financial planning services, 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|15|49|1|0|0|0
Boston District 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 District Office|   8032|801-41541|COMMONWEALTH FINANCIAL NETWORK|COMMONWEALTH EQUITY SERVICES, LLP|29 SAWYER ROAD||WALTHAM MA 02453-3483|USA|||  ||MICHELE L. RIGGS|781-736-0700|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|0|4|2|0|0|0
Boston District Office|   8219|801-32213|BENEFICIAL CAPITAL INC|BENEFICIAL CAPITAL INC.|1 BRADLEY ROAD|SUITE 202|WOODBRIDGE CT 06525|USA|||  ||SCHATZ, RICHARD|203.389.3555|Corporation|Portfolio management for individuals and/or small businesses, Market timing services|APPROVED|07/07/1988|0|8|0|0|0|0
Boston District Office|  10409|801-44264|MML INVESTORS SERVICES, INC.|MML INVESTORS SERVICES, INC.|1295 STATE STREET||SPRINGFIELD MA 01111-0001|USA|||  ||RONALD E. THOMSON|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|3|55|1|0|0|0
Boston District 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 District 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|17|0|0|0|0
Boston District Office|  13256|801-12643|ING LIFE INSURANCE AND ANNUITY COMPANY|ING LIFE INSURANCE AND ANNUITY COMPANY|151 FARMINGTON AVENUE TS31||HARTFORD CT 06156-1492|USA|||  ||THERESE M. SQUILLACOTE|860-723-3446|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/06/1977|0|19|5|0|0|0
Boston District 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||EDWARD KRUSZKA|203-338-4939|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|0|0|0|0|0
Boston District 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), Selection of other advisers|APPROVED|03/28/2002|0|10|2|0|0|1
Boston District Office|  16009|801-28947|JOHN HANCOCK INVESTMENT MANAGEMENT SERVICES, LLC|JOHN HANCOCK INVESTMENT MANAGEMENT SERVICES, LLC|601 CONGRESS STREET||BOSTON MA 02210-2805|USA|||  ||BETSY ANNE SEEL|617-663-2166|Limited Liability Company|Portfolio management for investment companies|APPROVED|03/13/1987|0|2|1|0|0|0
Boston District Office|  17507|801-32117|FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC.|FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC.|82 DEVONSHIRE STREET, MM3E||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|6|0|0|0|0
Boston District 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 District Office|  23757|801-57016|BANNON OHANESIAN & LECOURS, INC.|BANNON OHANESIAN & LECOURS, INC.|433 SOUTH MAIN STREET|SUITE 104|WEST HARTFORD CT 06110-9944|USA|||  ||SANDRA L. HART|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 District Office|  27314|801-56365|MANAGERS INVESTMENT GROUP LLC|MANAGERS INVESTMENT GROUP LLC|800 CONNECTICUT AVE||NORWALK CT 06854|USA|||  ||MARIA CANCELOSI|484-530-3504|Limited Liability Company|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
Boston District 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), Market timing services, Other|APPROVED|06/25/1987|0|0|0|0|0|0
Boston District Office|  29278|801-62290|BELLE HAVEN INVESTMENTS, L.P.|BELLE HAVEN INVESTMENTS, L.P.|5 GREENWICH OFFICE PARK||GREENWICH CT 06831|USA|||  ||KEVIN J CAVANAGH|203-629-4772|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|APPROVED|01/26/2006|0|2|0|0|0|0
Boston District Office|  29686|801-63905|WINSLOW, EVANS & CROCKER, INC.|WINSLOW, EVANS & CROCKER, INC.|175 FEDERAL STREET||BOSTON MA 02110|USA|||  ||ROBERT L. LOHWATER|617-896-3551|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/17/2005|0|5|0|0|0|0
Boston District Office|  30339|801-39767|BHIRUD ASSOCIATES INC|BHIRUD ASSOCIATES, INC.|3 THORNDAL CIRCLE||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 District 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 District 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 District Office|  34815|801-57637|ING FINANCIAL ADVISERS, LLC|ING FINANCIAL ADVISERS, LLC|151 FARMINGTON AVE|TS31|HARTFORD CT 06156-1492|USA|||  ||KATHLEEN MANKE|860-723-3440|Limited 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|05/30/2000|0|6|0|0|0|0
Boston District Office|  39550|801-61902|CCO INVESTMENT SERVICES CORP.|CCO INVESTMENT SERVICES CORP.|ONE CITIZENS PLAZA|MAIL STOP RC0340|PROVIDENCE RI 02903|USA|||  ||KEVIN L. FEIN|617-745-6225|Corporation|Financial planning services, Selection of other advisers, Other|APPROVED|03/27/2003|0|2|0|0|0|0
Boston District 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|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|02/26/1997|0|0|0|0|0|0
Boston District 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|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/08/2005|0|0|0|0|0|0
Boston District Office|  42179|801-55630|SECURE PLANNING, INC.|SECURE PLANNING INC|42 MIDDLE ST||PORTSMOUTH NH 03801|USA|||  ||LORI WALTZ|(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 District Office|  43793|801-56578|USI SECURITIES, INC.|USI SECURITIES, INC.|95 GLASTONBURY BLVD.||GLASTONBURY CT 06033|USA|||  ||JOHN A. O'CONNOR|860-368-2915|Corporation|Financial planning services, Selection of other advisers, Other|APPROVED|06/04/1999|0|0|0|0|0|0
Boston District 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 District 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|0|22|0|0|0
Boston District Office|  46897|801-56514|DAVINCI CAPITAL MANAGEMENT INC.|DAVINCI CAPITAL MANAGEMENT INC.|801 CAMBRIDGE ST.||CAMBRIDGE MA 02141|USA|||  ||KEVIN SULLIVAN|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 District Office|  47723|801-64658|RETIREMENT RESOURCE INVESTMENT CORP.|RETIREMENT RESOURCES INVESTMENT CORPORATION|100 CORPORATE PLACE||PEABODY MA 01960|USA|||  ||JAMES PHILLIPS|978-536-9000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|09/02/2005|0|0|0|0|0|0
Boston District Office| 104549|801-21247|MIDDLETON & COMPANY INC.|MIDDLETON & COMPANY INC.|600 ATLANTIC AVENUE; 18TH FLOOR||BOSTON MA 02210-2211|USA|||  ||HIBBARD, STEPHEN T.|617 357-5101 X 106|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 District 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 District 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 investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|03/21/1983|0|8|1|0|0|0
Boston District Office| 104555|801-13243|STRATEGIC ADVISERS, INC.|STRATEGIC ADVISERS, INC.|82 DEVONSHIRE ST. E20A||BOSTON MA 02109|USA|82 DEVONSHIRE STREET, E14B||BOSTON MA 02109|USA|NICHOLAS VITALE|(617) 563-7883|Corporation|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|08/11/1977|3|7|0|0|0|0
Boston District 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 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|1|2|0|0|0
Boston District Office| 104594|801-8327|EVERGREEN INVESTMENT MANAGEMENT CO|EVERGREEN INVESTMENT MANAGEMENT CO., 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|2|2|0|0|0
Boston District 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 District 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 District 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 District Office| 104642|801-26618|CLARKE ARTHUR D & CO|CLARKE ARTHUR DAVIS|388 BEACON STREET||BOSTON MA 02116-1002|USA|||  ||CLARKE, ARTHUR DAVIS|617-424-6926|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|03/28/1986|0|0|0|0|0|0
Boston District 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 District Office| 104669|801-11802|J. L. KAPLAN ASSOCIATES, LLC|J. L. KAPLAN ASSOCIATES, LLC|222 BERKELEY STREET,STE 2010||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 District Office| 104671|801-24288|COOPER FINANCIAL SERVICE 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 District 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 District 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 District Office| 104713|801-26296|BANC OF AMERICA INVESTMENT ADVISORS, INC|BANC OF AMERICA INVESTMENT ADVISORS, INC.|100 FEDERAL STREET||BOSTON MA 02110|USA|||  ||SANDRA SPIES|617-434-8934|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Selection of other advisers, Other|APPROVED|01/16/1986|0|5|2|0|0|0
Boston District 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|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/09/1972|0|0|0|0|0|0
Boston District 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 District 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 District Office| 104747|801-26501|TANDEM FINANCIAL SERVICES, INC.|TANDEM FINANCIAL SERVICES, INC.|25 CHRISTINA STREET||NEWTON MA 02461|USA|||  ||PHILBIN, JAMES M.|617-969-0223|Corporation|Financial planning 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 District Office| 104769|801-28129|HYNES HIMMELREICH GLENNON & CO|HYNES HIMMELREICH GLENNON & CO|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|Corporation|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 District Office| 104811|801-26679|ADVISORS CAPITAL INVESTMENTS INC|ADVISORS CAPITAL INVESTMENTS INC|17 TRIPP ROAD||WOODSTOCK CT 06281|USA|||  ||MANN, ROBERT K.|(800) 397-0722|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 District Office| 104813|801-23188|HICK & BOARDMAN FINANCIAL PLANNING AND GROUP BENEFITS, INC.|ADVISORS IN FINANCIAL PLANNING INC|346 SHELBURNE  RD 5TH FLR||BURLINGTON VT 05401|USA|346 SHELBURNE ROAD|P.O. BOX 1064|BURLINGTON VT 05402-1064|USA|SMITH, CHRISTOPHER ROBERT|802-863-5534|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|01/30/1985|0|0|1|0|0|0
Boston District Office| 104825|801-5346|NORTH AMERICAN MANAGEMENT CORP|NORTH AMERICAN MANAGEMENT CORP|TEN POST OFFICE SQ STE 1200||BOSTON MA 02109|USA|||  ||KAREN MANNING|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 District 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 District 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 District 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 District 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 District Office| 104863|801-29482|INCOME RESEARCH & MANAGEMENT|INCOME RESEARCH & MANAGEMENT|TWO INTERNATIONAL PLACE|23RD FLOOR|BOSTON MA 02110-4106|USA|||  ||KIZIK, RICHARD|617-330-9333|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|05/01/1987|0|0|0|0|0|0
Boston District Office| 104877|801-19835|MICHAEL J. CREW, INVESTMENT ADVISOR|CREW MICHAEL JOHN|DEER CROSSING MARKETPLACE|681 FALMOUTH RD STE A9|MASHPEE MA 02649|USA|DEER CROSSING MARKETPLACE|681 FALMOUTH ROAD, BOX C2|MASHPEE MA 02649|USA|CREW,MICHAEL JOHN|508-477-4464|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|09/28/1983|0|0|0|0|0|0
Boston District Office| 104891|801-8315|WHITE MOUNTAINS ADVISORS LLC|WHITE MOUNTAINS ADVISORS LLC|370 CHURCH STREET||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 District 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|APPROVED|09/14/1989|0|0|0|0|0|0
Boston District 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|GORDON, JEFFREY L|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 District Office| 104940|801-22796|JOHNSTON REID & MITCHELL INC|JOHNSTON REID & MITCHELL INC|81 WASHINGTON ST|PO BOX 6549|PORTSMOUTH NH 03802|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 District 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 District 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 District 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 District Office| 105003|801-34803|FIERSTON FINANCIAL GROUP INC|FIERSTON FINANCIAL GROUP INC|29 S MAIN ST||WEST HARTFORD CT 06107|USA|||  ||FIERSTON, SETH B|860-521-2100|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/14/1989|0|0|0|0|0|0
Boston District Office| 105004|801-35156|SCHWERIN BOYLE CAPITAL MANAGEMENT, INC|SCHWERIN BOYLE CAPITAL MANAGEMENT INC|1391 MAIN ST., STE 806||SPRINGFIELD MA 01103-1834|USA|||  ||MAUREEN MARSELLA|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 District 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 District Office| 105025|801-50599|TOFIAS FINANCIAL ADVISORS LP|TOFIAS FINANCIAL ADVISORS LP|350 MASSACHUSETTS AVENUE||CAMBRIDGE MA 02139|USA|||  ||ANDREW CHAN|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 District 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 District Office| 105039|801-33701|HARTFORD FINANCIAL MANAGEMENT INC|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 District Office| 105051|801-22437|NORTHEAST INVESTMENT MANAGEMENT INC|NORTHEAST INVESTMENT MANAGEMENT INC|150 FEDERAL STREET|SUITE 1000|BOSTON MA 02110-1745|USA|||  ||SEMPLE, RICHARD J.|888-404-1557|Corporation|Portfolio management for individuals and/or small businesses, Other|APPROVED|10/02/1984|0|0|0|0|0|0
Boston District Office| 105057|801-34761|ELEY FINANCIAL MANAGEMENT, INC.|ELEY FINANCIAL MANAGEMENT, INC.|99 SWIFT STREET, SUITE 305||SOUTH BURLINGTON VT 05403-7360|USA|||  ||POCHOP, RENE ANN|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|2|0|0|0|0
Boston District Office| 105058|801-31805|SEAWARD MANAGEMENT CORP|SEAWARD MANAGEMENT BUSINESS TRUST|265 FRANKLIN ST|20TH FLOOR|BOSTON MA 02110-3199|USA|||  ||MELNICK, PATRICIA A.|617-224-1900|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
Boston District Office| 105060|801-31820|PENOBSCOT INVESTMENT MANAGEMENT CO INC|PENOBSCOT INVESTMENT MANAGEMENT CO INC|50 CONGRESS ST., STE 410||BOSTON MA 02109|USA|||  ||EUGENE H. CLAPP|617-227-3111|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|05/02/1988|0|0|0|0|0|0
Boston District Office| 105062|801-17784|TFC FINANCIAL MANAGEMENT INC|TFC FINANCIAL MANAGEMENT INC|176 FEDERAL ST||BOSTON MA 02110|USA|||  ||SCHROTH, KATHLEEN|617-951-0770|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 District Office| 105085|801-14882|FORTIS INVESTMENTS|FORTIS INVESTMENT MANAGEMENT USA, INC.|75 STATE STREET, 27TH FLOOR||BOSTON MA 02109|USA|||  ||ANTHONY J. DEL RE|617-478-7225|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 District Office| 105089|801-27863|CHESWICK INVESTMENT CO INCORPORATED|CHESWICK INVESTMENT CO INCORPORATED|131 ROWAYTON AVENUE||ROWAYTON CT 06853|USA|||  ||TUTTLE, DAVID P.|203-956-7000|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/04/1986|0|1|0|0|0|0
Boston District 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), Other|APPROVED|12/13/1985|0|0|0|0|0|0
Boston District 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|Portfolio management for individuals and/or small businesses, Selection of other advisers, Other, Financial planning services|APPROVED|04/10/1974|0|0|0|0|0|0
Boston District Office| 105129|801-35875|BRIDGEWATER ASSOCIATES INC|BRIDGEWATER ASSOCIATES INC|ONE GLENDINNING PLACE||WESTPORT CT 06880|USA|||  ||LA TRONICA, PETER|203-226-3030|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/12/1990|0|0|0|0|0|0
Boston District 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 District 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 District 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|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 District 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 District Office| 105164|801-36582|DEIGHAN ASSOCIATES INC|DEIGHAN ASSOCIATES INC|455 HARLOW STREET||BANGOR ME 04401|USA|||  ||DEIGHAN, JEAN M|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 District Office| 105188|801-12232|OLSON MOBECK INVESTMENT ADVISORS, INC|OLSON MOBECK INVESTMENT ADVISORS, INC|35 COLD SPRING ROAD STE 112||ROCKY HILL CT 06067|USA|||  ||ALFRED FALCONE|860-563-2368|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/29/1976|0|0|0|0|0|0
Boston District Office| 105194|801-31346|HALE AND DORR CAPITAL MANAGEMENT LLC|HALE AND DORR CAPITAL MANAGEMENT LLC|60 STATE STREET||BOSTON MA 02109|USA|||  ||APRUZZESE, THERESA|617-526-5822|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/19/1988|0|0|0|0|0|0
Boston District Office| 105201|801-35497|PANAGORA ASSET MANAGEMENT INC|PANAGORA ASSET MANAGEMENT INC|260 FRANKLIN STREET||BOSTON MA 02110|USA|||  ||KRISTINA I. EISNOR|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 District Office| 105212|801-34350|WESTFIELD CAPITAL MANAGEMENT COMPANY, LLC|WESTFIELD CAPITAL MANAGEMENT COMPANY, LLC|ONE FINANCIAL CENTER||BOSTON MA 02111|USA|||  ||DIGRAVIO, KAREN  ANN|617-428-7118|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/28/1989|0|1|1|0|0|0
Boston District 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, Selection of other advisers, Market timing services, Other|APPROVED|10/25/1979|0|2|0|0|0|0
Boston District 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, Market timing services|APPROVED|05/17/1982|0|0|0|0|0|0
Boston District 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 District 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|0|0|0|0|0
Boston District Office| 105273|801-2501|THE WINTHROP CORPORATION|THE WINTHROP CORPORATION|440 WHEELERS FARMS RD||MILFORD CT 06460-1847|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 District Office| 105297|801-31947|GE ASSET MANAGEMENT INCORPORATED|GE ASSET MANAGEMENT INCORPORATED|3001 SUMMER STREET||STAMFORD CT 06905|USA|3001 SUMMER STREET|PO BOX 7900|STAMFORD CT 06904-7900|USA|ALAN MICHAEL LEWIS|203-326-2313|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/15/1988|1|1|0|0|0|0
Boston District Office| 105306|801-29733|WESTPORT RESOURCES MANAGEMENT INC|WESTPORT RESOURCES MANAGEMENT INC|315 POST ROAD WEST||WESTPORT CT 06880|USA|||  ||HARRY N. BLOCH|203-226-0222|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|06/26/1987|0|3|0|0|0|0
Boston District Office| 105314|801-30596|BARBENCO USA, INC.|BARBENCO USA, INC.|1150 SUMMER STREET||STAMFORD CT 06905|USA|||  ||BARNEY LOUIS HOROWITZ|203-351-9840|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|09/30/1987|0|0|0|0|0|0
Boston District Office| 105331|801-34634|ANCHOR/ RUSSELL CAPITAL ADVISORS, INC.|ANCHOR RUSSELL CAPITAL ADVISORS INC|ONE POST OFFICE SQUARE||BOSTON MA 02109-2103|USA|||  ||SPINOSA ELAINE MARIE|617-338-2722|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|06/15/1989|0|0|0|0|0|0
Boston District 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 District 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 District 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 District Office| 105343|801-15418|BALDWIN BROTHERS INC|BALDWIN BROTHERS INC|3 BARNABAS ROAD||MARION MA 02738|USA|||  ||MARGOT WARNER|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 District 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 District 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|1|2|0|0|0
Boston District 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 District Office| 105383|801-34934|CONSTITUTION RESEARCH & MANAGEMENT INC|CONSTITUTION RESEARCH & MANAGEMENT INC|175 FEDERAL STREET||BOSTON MA 02110|USA|||  ||MAGNUSON, CATHRINE P|(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 District Office| 105394|801-27292|GW & WADE INC|GW & WADE INC|93 WORCESTER STREET||WELLESLEY MA 02481|USA|||  ||ROBERT LAVIGNE|(781) 239-1188|Corporation|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 District 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|20|0|0|0|0
Boston District 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 District Office| 105438|801-4249|SCHWARTZ & HOFFLICH LLP CPA|SCHWARTZ & HOFFLICH LLP CPA|37 NORTH AVE||NORWALK CT 06851|USA|||  ||FELDMAN, LAWRENCE|203-847-4068|Limited Liability Partnership|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/18/1967|0|0|0|0|0|0
Boston District Office| 105448|801-13878|DAVIS R M INC|DAVIS R M INC|24 CITY CTR||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)|APPROVED|06/30/1978|0|0|0|0|0|0
Boston District 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 District 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|APPROVED|05/14/1987|0|0|0|0|0|0
Boston District Office| 105485|801-29091|T.O. RICHARDSON COMPANY, INC.|T.O. RICHARDSON COMPANY, INC.|2 BRIDGEWATER ROAD||FARMINGTON CT 06032-2256|USA|||  ||RUSSO, KATIE MESSER|860-677-8578|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|12/10/1986|0|0|0|0|0|0
Boston District 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 District 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 District 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 investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/15/1986|0|0|0|0|0|0
Boston District Office| 105525|801-33349|HART REALTY ADVISERS, INC.|HART REALTY ADVISERS, INC.|ONE MILL POND LANE||SIMSBURY CT 06070|USA|||  ||MACK, BETSY C.|860/651-4000|Corporation|Other|APPROVED|11/25/1988|0|0|0|0|0|0
Boston District Office| 105529|801-12787|RICHARDSON ASSOCIATES|RICHARDSON LEMONT KINGSFORD|96 SAWYER HILL ROAD||CANAAN NH 03741|USA|P.O. BOX 428||CANAAN NH 03741-0428|USA|RICHARDSON, LEMONT KINGSFORD|(603) 523-4303|Sole Proprietorship|Portfolio management for individuals and/or small businesses, Other|APPROVED|04/14/1977|1|0|0|0|0|0
Boston District Office| 105535|801-16104|PEG CAPITAL MANAGEMENT INC|PEG CAPITAL MANAGEMENT INC|96 SAWYER HILL ROAD||CANAAN NH 03741|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 District Office| 105540|801-18930|ANCHOR CAPITAL ADVISORS INC|ANCHOR CAPITAL ADVISORS INC|ONE POST OFFICE SQUARE||BOSTON MA 02109-2103|USA|||  ||SPINOSA, ELAINE MARIE|617-368-3805|Corporation|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 District 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 District 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 District Office| 105637|801-22924|HARBOR GROUP INC|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 District Office| 105640|801-22845|FINANCIAL DESIGN & MANAGEMENT INC|FINANCIAL DESIGN & MANAGEMENT INC|2425 POST ROAD|SUITE 101|SOUTHPORT CT 06490|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 District 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 District 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 District Office| 105673|801-29357|ADVENT INTERNATIONAL CORP|ADVENT INTERNATIONAL CORP|75 STATE ST|29TH FLOOR|BOSTON MA 02109|USA|||  ||HENNESSY, JANET L.|617-951-9447|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/28/1987|0|0|0|0|0|0
Boston District 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 District Office| 105701|801-14909|BOSTON SAFE ADVISORS, INC.|BOSTON SAFE ADVISORS, INC.|ONE BOSTON PLACE||BOSTON MA 02108|USA|||  ||KATHERINE CAIN|617-722-7446|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/09/1979|0|3|8|0|0|0
Boston District 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 District 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|0|0|0|0
Boston District Office| 105728|801-17465|NEWGATE LLP|NEWGATE LLP|ONE SOUND SHORE DRIVE||GREENWICH CT 06830|USA|||  ||ROSENBAUM, SONIA|203-661-0700|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|08/09/1982|0|0|0|0|0|0
Boston District Office| 105729|801-34606|CARLSON D L INVESTMENT GROUP INC|CARLSON D L INVESTMENT GROUP INC|101 N. STATE STREET||CONCORD NH 03301|USA|||  ||CARLSON, ROSAMOND C.|603-224-5977|Corporation|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 District 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 District 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 District 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 District 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)|APPROVED|12/12/1971|0|27|2|0|0|0
Boston District Office| 105792|801-32143|WITTENBERG INVESTMENT MANAGEMENT INC|WITTENBERG INVESTMENT MANAGEMENT INC|532 LOWELL ST|STE 201|CARLISLE MA 01741-1312|USA|||  ||WITTENBERG, JOEL B|978-369-6517|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 District Office| 105795|801-21845|WESTPORT ASSET MANAGEMENT INC|WESTPORT ASSET MANAGEMENT INC|253 RIVERSIDE AVENUE||WESTPORT CT 06880|USA|||  ||KNUTH, ANDREW J.|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 District Office| 105804|801-15429|VERIZON INVESTMENT MANAGEMENT CORP.|VERIZON INVESTMENT MANAGEMENT CORP.|695 MAIN STREET, SUITE 600||STAMFORD CT 06901|USA|P.O. BOX 120029||STAMFORD CT 06912-0029|USA|WILLIAM J. RAVER|203 965-3361|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|0|0|0|0
Boston District 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 District Office| 105811|801-18094|CIGNA INVESTMENT ADVISORS, INC.|CIGNA INVESTMENT ADVISORS, INC.|280 TRUMBULL STREET||HARTFORD CT 06103|USA|||  ||WINER, JEFFREY S.|860-757-7276|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/14/1982|0|0|0|0|0|0
Boston District Office| 105812|801-16664|GLOBAL PORTFOLIO STRATEGIES, INC.|GLOBAL PORTFOLIO STRATEGIES, INC.|280 TRUMBULL STREET||HARTFORD CT 06103|USA|280 TRUMBULL STREET|H09-F|HARTFORD CT 06103||ANTOINETTE LAZARUS|860-534-4017|Corporation|Pension consulting services|APPROVED|12/22/1981|0|0|0|0|0|0
Boston District 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 District Office| 105848|801-14875|HARDER MANAGEMENT COMPANY, INC.|HARDER MANAGEMENT COMPANY, INC.|657 SUDBURY ROAD||CONCORD MA 01742-4321|USA|P.O. BOX 517||CONCORD MA 01742-0517|USA|HARDER, TORRENCE C|978-371-3190|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|10/19/1979|0|0|0|0|0|0
Boston District 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 District 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|||  ||GERARD T. LYNCH|(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 District Office| 105917|801-29558|SMITH W B & CO INC|SMITH W B & CO INC|57 WHARF STREET|PICKERING WHARF|SALEM MA 01970|USA|||  ||SMITH III, WILLIAM B|978-741-4933|Corporation|Portfolio 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 District Office| 105925|801-50288|NORTHSTAR CAPITAL INC|NORTHSTAR CAPITAL INC|84 STATE STREET||BOSTON MA 02109|USA|||  ||RICH, WILLIAM P|617-723-3100|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|10/13/1995|0|0|0|0|0|0
Boston District Office| 105927|801-48564|RESNICK INVESTMENT ADVISORS, LLC|RESNICK INVESTMENT ADVISORS, LLC|301 RIVERSIDE AVE|2ND FLOOR|WESTPORT CT 06880|USA|||  ||FISHMAN, DAVID SAMUEL|203-226-8262|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/17/1995|0|0|0|0|0|0
Boston District 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 District 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 District 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 District 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 District Office| 105991|801-50672|WEATHERBIE M A & CO INC|WEATHERBIE M A & 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 District Office| 105997|801-45304|DWIGHT ASSET MANAGEMENT COMPANY|DWIGHT ASSET MANAGEMENT COMPANY|100 BANK STREET||BURLINGTON VT 05401|USA|P.O BOX 1590||BURLINGTON VT 05402|USA|BURNS, JAMES, JOSEPH|(802) 862-4170|Corporation|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 District 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 District 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 District 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, Other|APPROVED|01/21/1994|0|1|0|0|0|0
Boston District Office| 106005|801-46245|DELESSERT FINANCIAL SERVICES INC|DELESSERT FINANCIAL SERVICES INC|504 TOTTEN POND ROAD|FIRST 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 District Office| 106006|801-241|BABSON CAPITAL MANAGEMENT LLC|BABSON CAPITAL MANAGEMENT LLC|INDEPENDENCE WHARF|470 ATLANTIC AVENUE|BOSTON MA 02210|USA|||  ||STEPHEN L. KUHN|(413)226-1000|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|11/01/1940|0|24|0|0|0|0
Boston District Office| 106020|801-37177|WOLVERINE INVESTMENTS|WHB WOLVERINE ASSET MANAGEMENT INC|1281 EAST MAIN STREET|1ST FLOOR|STAMFORD CT 06902|USA|||  ||BABYAK, JOHN M.|203-325-1743|Corporation|Portfolio 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 District 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 District Office| 106030|801-45362|SOUTHFIELD INVESTMENT MANAGEMENT, LLC|SOUTHFIELD INVESTMENT MANAGEMENT, LLC|1010 WASHINGTON BLVD||STAMFORD CT 06901|USA|||  ||GODOWN, DEAN A|203-978-0250|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/06/1993|0|0|0|0|0|0
Boston District Office| 106042|801-18367|DELPHI MANAGEMENT INC|DELPHI MANAGEMENT INC|50 ROWES WHARF STE 540||BOSTON MA 02110|USA|||  ||BLACK SCOTT MYLES|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 District Office| 106053|801-29654|BAINCO INTERNATIONAL INVESTORS LLC|BAINCO INTERNATIONAL INVESTORS LLC|372 WASHINGTON STREET||WELLESLEY MA 02481|USA|||  ||KATZ ROBERT G|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 District 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 District 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|0|22|0|0|0
Boston District 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 District Office| 106091|801-40399|PAUL FINANCIAL SERVICES INC|PAUL FINANCIAL SERVICES INC|1233 SHELBURNE RD|SUITE 420|SOUTH BURLINGTON VT 05403|USA|P. O. BOX 1272||BURLINGTON VT 05402|USA|PAUL,KAREN SUE|802 862-1545|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
Boston District 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 District Office| 106109|801-53321|CHOATE INVESTMENT ADVISORS|CHOATE INVESTMENT ADVISORS LLC|TWO INTERNATIONAL PLACE||BOSTON MA 02110|USA|||  ||CARL SARGENT|617 248 5210|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|11/29/1996|0|0|0|0|0|0
Boston District 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|APPROVED|10/01/1990|0|0|0|0|0|0
Boston District Office| 106126|801-44524|DHK FINANCIAL ADVISORS INC|DHK FINANCIAL ADVISORS INC|3 GREENLEAF WOODS DRIVE|SUITE 201|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 District Office| 106132|801-36865|WEST BAY CAPITAL LLC|WEST BAY CAPITAL LLC|409 WICKFORD POINT ROAD||NORTH KINGSTOWN RI 02852|USA|||  ||GIRASOLE, ROBERT V|401-294-2570|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|06/29/1990|0|0|0|0|0|0
Boston District Office| 106144|801-18048|INDEPENDENCE INVESTMENT LLC|INDEPENDENCE INVESTMENT LLC|53 STATE ST||BOSTON MA 02109|USA|||  ||THOMPSON, PATRICIA A.|617-228-8686|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/06/1982|0|29|1|0|0|0
Boston District 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 District 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 District 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 District Office| 106220|801-15028|GRANTHAM MAYO VAN OTTERLOO & CO LLC|GRANTHAM MAYO VAN OTTERLOO & CO LLC|40 ROWES WHARF||BOSTON MA 02110|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), Selection of other advisers|APPROVED|12/31/1979|0|0|0|0|0|0
Boston District 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 District 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 District Office| 106241|801-49110|NEWPORT CAPITAL ADVISERS INC|NEWPORT CAPITAL ADVISERS INC|500 VICTORY RD|MARINA BAY|NORTH QUINCY MA 02171|USA|||  ||PARRILLO, ANDREW DAVID|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 District Office| 106254|801-39248|ANDOVER EQUITY ASSOCIATES|ANDOVER EQUITY ASSOCIATES CORP|38 ESSEX STREET||ANDOVER MA 01810|USA|||  ||KAREN J. MILLER|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 District 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 District Office| 106278|801-43216|POLARIS CAPITAL MANAGEMENT INC|POLARIS CAPITAL MANAGEMENT INC|125 SUMMER STREET|SUITE 1470|BOSTON MA 02110|USA|||  ||GOREHAM, LUCY C|617.951.1365|Corporation|Portfolio 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 District 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 District 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 District 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 District Office| 106295|801-45209|PARSONS CAPITAL MANAGEMENT INC|PARSONS CAPITAL MANAGEMENT INC|10 WEYBOSSET STREET, STE 106||PROVIDENCE RI 02903|USA|||  ||ROBERT W. PARSONS|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 District Office| 106302|801-51257|WRIGHT INVESTORS SERVICE INC|WRIGHT INVESTORS SERVICE INC|440 WHEELERS FARMS RD||MILFORD CT 06460-1847|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 District 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 District Office| 106330|801-32819|SEB ASSET MANAGEMENT AMERICA INC|SEB ASSET MANAGEMENT AMERICA INC|ONE STAMFORD PLAZA|263 TRESSER BLVD - 10TH FLOOR|STAMFORD CT 06901-3236|USA|||  ||SVEN ANDERS EKERNAS|203-425-1424|Corporation|Selection of other advisers|APPROVED|10/21/1988|0|0|0|0|0|0
Boston District Office| 106359|801-34904|HEAD AND ASSOCIATES, INC|HEAD AND ASSOCIATES, INC|121 MIDDLE STREET||PORTLAND ME 04101|USA|||  ||JENNIFER MOGAVERO|207-773-5333|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/15/1989|0|0|0|0|0|0
Boston District Office| 106380|801-42161|ELDRIDGE INVESTMENT ADVISORS INC|ELDRIDGE INVESTMENT ADVISORS INC|686 CHESTNUT ST||MANCHESTER NH 03104|USA|||  ||ELDRIDGE, SUSAN B|603-625-8559|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 District Office| 106387|801-39247|FEDERAL STREET ADVISORS INC|FEDERAL STREET ADVISORS INC|50 FEDERAL ST||BOSTON MA 02110|USA|||  ||QUILES,LYN G|(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|APPROVED|06/26/1991|0|0|0|0|0|0
Boston District 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 District 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 District Office| 106419|801-49026|SPECTRUM FINANCIAL STRATEGIES INC|SPECTRUM FINANCIAL STRATEGIES INC|2764 WHITNEY AVE 2ND FLR||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)|APPROVED|04/19/1995|0|0|0|0|0|0
Boston District Office| 106435|801-42023|SOVEREIGN ASSET MANAGEMENT LLC|SOVEREIGN ASSET MANAGEMENT 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 businesses or institutional clients (other than investment companies)|APPROVED|08/04/1992|0|27|1|0|0|0
Boston District 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), Publication of periodicals or newsletters, Other|APPROVED|10/08/1992|0|0|0|0|0|0
Boston District 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|Portfolio management for individuals and/or small businesses|APPROVED|09/28/1990|0|0|0|0|0|0
Boston District 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 District Office| 106468|801-51633|CORNERSTONE REAL ESTATE ADVISERS LLC|CORNERSTONE REAL ESTATE ADVISERS LLC|ONE FINANCIAL PLAZA,STE 1700||HARTFORD CT 06103-2604|USA|||  ||WILLIAMS, ANDREW C.|860-509-2203|Limited Liability Company|Other|APPROVED|04/01/1996|0|39|2|0|0|0
Boston District Office| 106473|801-30125|KOBREN INSIGHT MANAGEMENT INC|KOBREN INSIGHT MANAGEMENT INC|20 WILLIAM STREET, STE 310||WELLESLEY HILLS MA 02481|USA|||  ||KIERNAN, KEVIN C.|617-369-2205|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|07/31/1987|0|1|0|0|0|0
Boston District 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 District 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|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|01/12/1994|0|0|0|0|0|0
Boston District Office| 106525|801-37319|ALLEN FINANCIAL ADVISOR INC|ALLEN FINANCIAL ADVISORS INC|ONE LONGFELLOW PLACE|SUITE 3708|BOSTON MA 02114|USA|||  ||ALLEN, LEE HOWARD|617-720-4445|Corporation|Portfolio management for individuals and/or small businesses, Other|APPROVED|09/07/1990|0|0|0|0|0|0
Boston District Office| 106548|801-1939|BAXTER INVESTMENT MANAGEMENT|BAXTER BROTHERS INC.|1030 EAST PUTNAM AVENUE||RIVERSIDE CT 06878|USA|1030 EAST PUTNAM AVE.|P.O. BOX 2200|GREENWICH CT 06836|USA|BAXTER,III WILLIAM J|203-637-4559|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|05/01/1959|0|0|0|0|0|0
Boston District 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 District 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 District Office| 106597|801-49059|BOSTON PARTNERS ASSET MANAGEMENT, LLC|BOSTON PARTNERS ASSET MANAGEMENT, LLC|28 STATE ST|21ST FL|BOSTON MA 02109|USA|||  ||IUDICE, MARY ANN|617-832-8236|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/28/1995|0|2|0|0|0|0
Boston District 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 District Office| 106609|801-28078|ACADIAN ASSET MANAGEMENT INC|ACADIAN ASSET MANAGEMENT INC|ONE POST OFFICE SQUARE||BOSTON MA 02109|USA|||  ||FRASHURE,RONALD|617-946-3516|Corporation|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 District 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 District Office| 106625|801-26465|IPSWICH INVESTMENT MANAGEMENT COMPANY, INC|IPSWICH INVESTMENT MANAGEMENT COMPANY, INC.|53. S. MAIN||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 District 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 District 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|APPROVED|11/19/1971|0|3|4|0|0|0
Boston District 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 businesses or institutional clients (other than investment companies)|APPROVED|10/07/1968|0|0|2|0|0|0
Boston District Office| 106651|801-51363|ESSENTIAL PLANNING, LLC|ESSENTIAL PLANNING, LLC|75 CONGRESS STREET STE 203||PORTSMOUTH NH 03801|USA|||  ||MURPHY, MARYANN|603-427-5164|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|03/15/1996|0|0|0|0|0|0
Boston District 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 District Office| 106664|801-47437|DAVID WENDELL ASSOCIATES, INC.|WENDELL DAVID ASSOCIATES INC|2ND FLOOR|325 CORPORATE DRIVE|PORTSMOUTH NH 03801|USA|P.O. BOX 6750||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 District Office| 106668|801-47168|ADVISER INVESTMENT MANAGEMENT INC|ADVISER INVESTMENT MANAGEMENT INC|85 WELLS AVE||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 District Office| 106671|801-38669|EVANS & HEALY|EVANS & HEALY|239 NORTH MAIN STREET||BRANFORD CT 06405-3020|USA|||  ||PEARSON, MYRTLELENE THYJUANA|203-488-3440|Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/16/1991|0|0|0|0|0|0
Boston District 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 District Office| 106699|801-53542|HARTFORD INVESTMENT MANAGEMENT COMPANY|HARTFORD INVESTMENT MANAGEMENT COMPANY|55 FARMINGTON AVENUE||HARTFORD CT 06105|USA|||  ||SHANLER, DEBRA B|860-297-6455|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/31/1996|0|0|22|0|0|0
Boston District Office| 106703|801-22904|MT. AUBURN MANAGEMENT|DWORSKY ALAN JACOB|THREE POST OFFICE SQUARE||BOSTON MA 02109|USA|||  ||DWORSKY, ALAN JACOB|617 423 7707|Sole Proprietorship|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/03/1984|0|0|0|0|0|0
Boston District Office| 106704|801-7212|TIMCO ASSET MANAGEMENT, INC.|TIMCO ASSET MANAGEMENT, INC.|100 FIRST STAMFORD PLACE||STAMFORD CT 06902|USA|||  ||BARBARA BROOKE MANNING|212-559-7917|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/17/1971|0|0|0|0|0|0
Boston District Office| 106705|801-27959|W.E. DONOGHUE & CO., INC.|DONOGHUE W E & CO INC|260 NORTH MAIN STREET||NATICK MA 01760|USA|||  ||DOWLER, WILLIAM B.|508-903-4250|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|09/05/1986|0|5|0|0|0|0
Boston District 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 businesses or institutional clients (other than investment companies)|APPROVED|03/21/1997|0|0|0|0|0|0
Boston District 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|COHN,JEFFREY L|(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 District Office| 106767|801-45877|ALLOCATION PLUS ASSET MANAGEMENT CO INC|ALLOCATION PLUS ASSET MANAGEMENT CO INC|205 PORTLAND STREET|3RD FLOOR|BOSTON MA 02114-1809|USA|||  ||MCCARTY, JAMES X.|617-723-1400|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|01/31/1994|0|0|0|0|0|0
Boston District Office| 106781|801-45649|FAIRVIEW CAPITAL PARTNERS LP|FAIRVIEW CAPITAL PARTNERS LP|10 STANFORD DRIVE||FARMINGTON CT 06032|USA|||  ||ARCHER, JOANNE E.|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 District Office| 106800|801-48408|IXIS ASSET MANAGEMENT ADVISORS, L.P.|IXIS 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|0|0|0|0|0
Boston District 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)|APPROVED|03/01/1996|0|0|0|0|0|0
Boston District 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 District Office| 106894|801-32954|SEIDMAN INVESTMENT PORTFOLIOS|SEIDMAN DANIEL JAY|23 MAYFLOWER LANE|RR 1 BOX 595-B|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 District Office| 106910|801-43817|WS SECURITIES INC|WS SECURITIES INC|5 WALKER STREET||LENOX MA 01240|USA|||  ||WESSON, BARRY M|413-637-2900|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|04/29/1993|0|0|0|0|0|0
Boston District 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 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|10/01/1996|0|0|0|0|0|0
Boston District Office| 106920|801-32888|MOODY ALDRICH PARTNERS, LLC|MOODY ALDRICH PARTNERS, LLC|18 SEWALL STREET||MARBLEHEAD MA 01945|USA|||  ||ALDRICH, JR. AMORY A|781-639-9192|Limited Liability Company|Portfolio 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 District 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 investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|07/23/1987|0|0|0|0|0|0
Boston District Office| 106926|801-46919|TRUST ADVISORY GROUP LTD|TRUST ADVISORY GROUP LTD|264 NORTH MAIN STREET||NATICK MA 01760|USA|||  ||LEMOINE, SUSAN MARIE|(508)653-7788|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 District 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 District Office| 106970|801-43982|O'CONNELL INVESTMENT SERVICES, INC.|OCONNELL INVESTMENT SERVICES INC|11 BLACKSTONE VALLEY PLACE||LINCOLN RI 02865|USA|||  ||O'CONNELL WILLIAM BRENDAN|401-334-5909|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/20/1993|0|0|0|0|0|0
Boston District Office| 106979|801-17437|RINET COMPANY, LLC|RINET COMPANY, LLC|101 FEDERAL STREET||BOSTON MA 02110|USA|||  ||CORBALIS, LUKE|617 488 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), Pension consulting services, Selection of other advisers, Security ratings or pricing services|APPROVED|07/21/1982|0|1|1|0|0|0
Boston District Office| 106981|801-2423|ARGUS INVESTORS' COUNSEL, INC.|ARGUS INVESTORS' COUNSEL, INC.|100 PROSPECT STREET|SOUTH TOWER|STAMFORD CT 06901|USA|||  ||MATTHEW S. BURSTEIN|203-316-9000|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/16/1960|0|0|0|0|0|0
Boston District 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)|APPROVED|09/17/1969|0|4|5|0|0|0
Boston District 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 District 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 District 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 District 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 District Office| 107123|801-48771|EASTERN POINT ADVISORS INC.|EASTERN POINT ADVISORS INC.|230 BROADWAY||LYNNFIELD MA 01940|USA|||  ||TIMOTHY B. MURPHY|800-462-4610|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|03/22/1995|0|5|0|0|0|0
Boston District 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), Other|APPROVED|12/07/1990|0|0|0|0|0|0
Boston District 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, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|09/17/1996|0|0|0|0|0|0
Boston District Office| 107143|801-43833|BRECKINRIDGE CAPITAL ADVISORS INC|BRECKINRIDGE CAPITAL ADVISORS INC|200 HIGH STREET||BOSTON MA 02110|USA|||  ||KATHLEEN LAY|617-443-0779|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 District Office| 107144|801-46433|MFS INSTITUTIONAL ADVISORS INC.|MFS INSTITUTIONAL ADVISORS INC.|500 BOYLSTON ST||BOSTON MA 02116-3741|USA|||  ||MITCHELL C. FREESTONE|617-954-5835|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/06/1994|0|10|0|0|0|0
Boston District Office| 107151|801-40535|RHUMBLINE ADVISERS|RHUMBLINE ADVISERS LTD PARTNERSHIP|30 ROWES WHARF SUITE 350||BOSTON MA 02110|USA|||  ||KIM R. MC CANT|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 District Office| 107153|801-46976|LORING, WOLCOTT & COOLIDGE FIDUCIARY ADVISORS|LORING, WOLCOTT & COOLIDGE FIDUCIARY ADVISORS|230 CONGRESS STREET||BOSTON MA 02110|USA|||  ||PERKINS, WILLIAM B.|617-523-6531|Partnership|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 District 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, Publication of periodicals or newsletters, Other|APPROVED|08/30/1990|0|0|0|0|0|0
Boston District 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 District 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 District 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 District 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 District Office| 107278|801-40257|LANDMARK ADVISERS INC|LANDMARK ADVISERS INC|ATTN: TINA ST.PIERRE|10 MILL POND LANE|SIMSBURY CT 06070-2429|USA|||  ||TINA ST. PIERRE|860-651-9760|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/25/1991|0|1|1|0|0|0
Boston District 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 District Office| 107304|801-53304|LANDMARK REALTY ADVISORS LLC|LANDMARK REALTY ADVISORS LLC|10 MILL POND LANE||SIMSBURY CT 06070-2429|USA|||  ||TINA ST. PIERRE|860-651-9760|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/09/1996|0|1|1|0|0|0
Boston District 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|1|1|0|0|0
Boston District Office| 107327|801-19708|CABOT MONEY MANAGEMENT INC|CABOT MONEY MANAGEMENT INC|216 ESSEX STREET||SALEM MA 01970|USA|P.O. BOX 150||SALEM MA 01970-9869|USA|ROBERT T. LUTTS|978-745-9233|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|09/16/1983|0|2|0|0|0|0
Boston District 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 District 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 District 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 District Office| 107359|801-47370|WIESE CAPITAL MANAGEMENT INC|WIESE CAPITAL MANAGEMENT INC|1281 EAST MAIN STREET||STAMFORD CT 06902|USA|||  ||PETER C. WIESE|203-359-6677|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 District 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 District Office| 107412|801-11877|MASON CAPITAL PARTNERS|ALBERT D MASON INC|50 CONGRESS ST STE,843||BOSTON MA 02109|USA|||  ||CATHERINE BRUCE KONUAH|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 District Office| 107422|801-2252|FORBES J M & CO|FORBES J M & CO|3 POST OFFICE SQUARE|10TH FL|BOSTON MA 02109-3903|USA|||  ||DAVID C. WARNER|(617) 423-5705|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 District 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 District Office| 107427|801-47031|INVESTMENT ADVISER|CITIZENS ADVISERS,INC.|ONE HARBOUR PLACE|SUITE 400|PORTSMOUTH NH 03801|USA|||  ||MARCIA KOVALIK|603-436-5152|Corporation|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|07/15/1994|0|0|0|0|0|0
Boston District Office| 107457|801-60012|HARBOR ISLAND CAPITAL LLC|HARBOR ISLAND CAPITAL LLC|100 CUMMINGS CENTER|SUITE 428-C|BEVERLY MA 01915|USA|||  ||PAUL FORTIN|978-927-5680|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|02/09/2001|0|0|0|0|0|0
Boston District 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 District 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|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|12/06/1990|0|1|0|0|0|0
Boston District 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 District 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 District Office| 107505|801-51357|BOYD FINANCIAL STRATEGIES, INC.|BOYD FINANCIAL STRATEGIES, INC.|228 PARK AVE||WORCESTER MA 01609-2248|USA|||  ||JOHN R. BOYD|508-754-3226|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/22/1996|0|0|0|0|0|0
Boston District Office| 107512|801-37990|TA ASSOCIATES REALTY|REALTY ASSOCIATES ADVISORS LLC|28 STATE STREET, 10TH FL||BOSTON MA 02109|USA|||  ||KAREN MAGNO|617-476-2733|Limited Liability Company|Pension consulting services, Other|APPROVED|12/24/1990|0|0|0|0|0|0
Boston District Office| 107543|801-33087|SMITH WB FINANCIAL GROUP|SMITH WILLIAM BRUCE|ONE GRAFTON COMMON, SUITE 22||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 District Office| 107556|801-33868|NETFOLIO,INC.|NETFOLIO,INC.|35 MASON STREET - FOURTH FLR.||GREENWICH CT 06830|USA|||  ||JOSEPH F. CONWAY|203-869-7166|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|01/30/1989|0|0|0|0|0|0
Boston District 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 District 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 investment companies, 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 District Office| 107572|801-51642|PARKER GLOBAL STRATEGIES LLC|PARKER GLOBAL STRATEGIES LLC|1177 SUMMER STREET|6TH FLOOR|STAMFORD CT 06905|USA|||  ||LORRAINE S. WALLS|203-358-4024|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 District 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 District 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 District Office| 107643|801-39603|BOSTON RESEARCH AND MANAGEMENT, INC.|BOSTON RESEARCH AND MANAGEMENT, INC.|40 BEACH STREET|SUITE 200|MANCHESTER MA 01944|USA|||  ||DANIEL LARSEN|(978)526-9700|Corporation|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 District 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 District Office| 107649|801-52511|MG FINANCIAL LLC|MG FINANCIAL LLC|77 SUMMER STREET||BOSTON MA 02110|USA|||  ||MARY E. GILLIGAN|617-451-1138|Limited Liability Company|Financial planning services, Selection of other advisers|APPROVED|07/26/1996|0|0|0|0|0|0
Boston District 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 District 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 District 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 District Office| 107719|801-8255|PIONEER INVESTMENT MANAGEMENT, INC.|PIONEER INVESTMENT MANAGEMENT, INC.|60 STATE STREET||BOSTON MA 02109-1820|USA|||  ||MARTIN J. WOLIN|617-742-7825|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/14/1971|0|1|0|0|0|0
Boston District Office| 107721|801-8352|JOHN HANCOCK LIFE INSURANCE CO|JOHN HANCOCK LIFE INSURANCE CO|200 CLARENDON STREET|BCF, T-58|BOSTON MA 02117|USA|||  ||CYNTHIA CAVANAUGH|617-572-4612|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/26/1972|0|39|1|0|0|0
Boston District 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 District 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 District 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 businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|02/05/1997|0|2|0|0|0|0
Boston District 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|2|0|0|0|0
Boston District 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|APPROVED|04/20/1958|0|2|0|0|0|0
Boston District 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 District 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 District 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 District Office| 107845|801-17043|HERITAGE CAPITAL MANAGEMENT INC|HERITAGE CAPITAL MANAGEMENT INC|WAINWRIGHT BANK BUILDING|63 FRANKLIN STREET, 5TH FLOOR|BOSTON MA 02110|USA|||  ||MARYBETH BREED|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 District Office| 107879|801-55827|INVESTMENT SOLUTIONS INC|INVESTMENT SOLUTIONS INC|113A POST ROAD EAST||WESTPORT CT 06880-3410|USA|||  ||ERIC W. WOOD|(203) 221-1983|Corporation|Pension consulting services, Selection of other advisers|APPROVED|08/25/1998|0|0|0|0|0|0
Boston District 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 District Office| 107900|801-50372|COLUMBIA MANAGEMENT ADVISORS, LLC|COLUMBIA MANAGEMENT ADVISORS, LLC|100 FEDERAL STREET||BOSTON MA 02110|USA|||  ||KEITH T. BANKS|617-434-6642|Limited Liability Company|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|10|2|0|0|0
Boston District 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, Pension consulting services, Selection of other advisers|APPROVED|08/07/1998|0|0|0|0|0|0
Boston District 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 District 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 District 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 District Office| 107971|801-43295|AIS CAPITAL MANAGEMENT LLC|AIS CAPITAL MANAGEMENT LLC|187 DANBURY RD P.O. BOX 806||WILTON CT 06897-0806|USA|||  ||JOHN HUMMEL|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 District Office| 107986|801-57541|MERGANSER CAPITAL MANAGEMENT LP|MERGANSER CAPITAL MANAGEMENT LP|99 HIGH STREET|28TH FLOOR|BOSTON MA 02110|USA|||  ||RICHARD 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 District 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 District 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|Other|APPROVED|07/06/2000|0|0|0|0|0|0
Boston District 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 District Office| 108043|801-58006|CAP ADVISORS LLC|CAP ADVISORS LLC|136 MAIN STREET|SUITE 207|WESTPORT CT 06880|USA|||  ||JEFFREY COHEN|203-227-5124|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 District 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|USA|ANNE W. DOREMUS|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 District 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 District 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 District Office| 108070|801-57059|BACK BAY FINANCIAL GROUP, INC.|BACK BAY FINANCIAL GROUP, INC.|745 BOYLSTON ST|SUITE 503|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, Publication of periodicals or newsletters|APPROVED|12/14/1999|0|0|0|0|0|0
Boston District Office| 108071|801-57625|FAMILY FINANCIAL ARCHITECTS, INC.|FAMILY FINANCIAL ARCHITECTS, INC.|214 NORTH MAIN ST|STE 209|NATICK MA 01760|USA|||  ||ROY L. 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 District Office| 108085|801-57475|AMERIVEST ADVISORY CORP|AMERIVEST ADVISORY CORP|20 HAMPTON AVE|STE 140|NORTHAMPTON MA 01060|USA|||  ||KELLY FRADET|413-584-9988|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|04/14/2000|0|2|0|0|0|0
Boston District 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 District Office| 108108|801-56930|FAIRVIEW VENTURE MANAGEMENT LLC|FAIRVIEW VENTURE MANAGEMENT LLC|10 STANFORD DRIVE||FARMINGTON CT 06032|USA|||  ||ARCHER, JOANNE E.|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 District 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|0|0|0|0|0
Boston District 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 District Office| 108141|801-54286|HALL CAPITAL MANAGEMENT CO INC|HALL CAPITAL MANAGEMENT CO INC|26 BOSWORTH STREET||BARRINGTON RI 02806|USA|||  ||ROBERT 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 District Office| 108143|801-54967|WESTPORT ADVISERS LLC|WESTPORT ADVISERS LLC|253 RIVERSIDE AVE||WESTPORT CT 06880|USA|||  ||EDMUND H. NICKLIN, JR.|203-227-3601|Limited Liability Company|Portfolio management for investment companies|APPROVED|10/10/1997|0|0|0|0|0|0
Boston District Office| 108151|801-55158|ROBERT BROOKE ZEVIN ASSOCIATES, INC.|ROBERT BROOKE ZEVIN ASSOCIATES, INC.|84 STATE STREET|SUITE 1000|BOSTON MA 02109-2205|USA|||  ||ROBERT BROOKE ZEVIN|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 District 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 District Office| 108166|801-56941|WHITNEY HOLDINGS LLC|WHITNEY HOLDINGS LLC|177 BROAD STREET||STAMFORD CT 06901|USA|||  ||KEVIN J. CURLEY|203-973-1534|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/26/1999|0|0|0|0|0|0
Boston District 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 District Office| 108200|801-60004|CITI FUND MANAGEMENT INC.|CITI FUND MANAGEMENT INC.|100 FIRST STAMFORD PLACE||STAMFORD CT 06902-6729|USA|C/O THOMAS C. MANDIA, ESQ|300 FIRST STAMFORD PLACE|STAMFORD CT 06902-6732|USA|THOMAS C. MANDIA, ESQ.|203-890-7038|Corporation|Portfolio management for investment companies|APPROVED|01/29/2001|0|2|1|0|0|0
Boston District 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 District 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 District Office| 108234|801-60162|BELMONT FINANCIAL|DURANT, MICHAEL GEORGE|30 CHURCH ST SUITE 320||BELMONT MA 02478|USA|||  ||MICHAEL G. DURANT|617-489-0040|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|09/24/2003|0|0|0|0|0|0
Boston District Office| 108248|801-28774|FIDELITY MANAGEMENT & RESEARCH (FAR EAST) INC.|FIDELITY MANAGEMENT & RESEARCH (FAR EAST) INC.|ONE FEDERAL STREET||BOSTON MA 02110|USA|82 DEVONSHIRE STREET E14B||BOSTON MA 02109|USA|NICHOLAS VITALE|(617) 563-7883|Corporation|Other|APPROVED|05/11/1987|0|3|0|0|0|0
Boston District Office| 108252|801-34590|FIDELITY INVESTMENTS MONEY MANAGEMENT INC.|FIDELITY INVESTMENTS MONEY MANAGEMENT INC.|ONE SPARTAN WAY||MERRIMACK NH 03054|USA|82 DEVONSHIRE STREET E14B||BOSTON MA 02109|USA|NICHOLAS VITALE|(617) 563-7883|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/09/1989|0|3|0|0|0|0
Boston District Office| 108253|801-56832|SHIELDS ASSOCIATES, LLC|SHIELDS ASSOCIATES, LLC|1266 E. MAIN ST.||STAMFORD CT 06902|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 District Office| 108273|801-28773|FIDELITY MANAGEMENT & RESEARCH (UK) INC.|FIDELITY MANAGEMENT & RESEARCH (UK) INC.|ONE FEDERAL STREET||BOSTON MA 02110|USA|82 DEVONSHIRE STREET E14B||BOSTON MA 02109|USA|NICHOLAS VITALE|(617) 563-7883|Corporation|Other|APPROVED|05/11/1987|0|3|0|0|0|0
Boston District Office| 108281|801-7884|FIDELITY MANAGEMENT & RESEARCH COMPANY|FIDELITY MANAGEMENT & RESEARCH COMPANY|ONE FEDERAL STREET||BOSTON MA 02110|USA|82 DEVONSHIRE STREET E14B||BOSTON MA 02109|USA|NICHOLAS VITALE|(617) 563-7883|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/29/1971|0|3|0|0|0|0
Boston District Office| 108283|801-43078|SENTINEL ADVISORS, CO|SENTINEL ADVISORS, CO|ONE NATIONAL LIFE DRIVE||MONTPELIER VT 05604|USA|||  ||KERRY A. JUNG|(802) 229-7410|Partnership|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/11/1993|0|5|0|0|0|0
Boston District Office| 108290|801-8177|PXP INSTITUTIONAL MARKETS GROUP LTD.|PXP INSTITUTIONAL MARKETS GROUP, LTD.|56 PROSPECT STREET||HARTFORD CT 06103|USA|||  ||DAVID C. MARTIN|860-403-6369|Corporation|Other|APPROVED|12/14/1971|0|3|4|0|0|0
Boston District 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 District 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 District 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 District 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 District Office| 108409|801-64474|CONNECTICUT CAPITAL MANAGEMENT GROUP L.L.C.|CONNECTICUT CAPITAL MANAGEMENT GROUP L.L.C.|63 CHERRY ST||MILFORD CT 36460|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 District Office| 108440|801-57397|MUNDER LEE INVESTMENTS LTD|LEE MUNDER INVESTMENTS LTD.|200 CLARENDON ST|T-28|BOSTON MA 02116|USA|231 ROYAL PALM WAY||PALM BEACH FL 33480|USA|TERRY GARDNER|561-802-8800|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 District 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 District Office| 108458|801-56486|TEMENOS INC|TEMENOS INC|789 GUERNSEYTOWN ROAD||WATERTOWN CT 06795|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 District Office| 108467|801-55081|IRONWOOD CAPITAL MANAGEMENT LLC|IRONWOOD CAPITAL MANAGEMENT LLC|21 CUSTOM HOUSE STREET|SUITE 240|BOSTON MA 02110|USA|||  ||GARY S. SAKS|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 District Office| 108468|801-55001|DDJ CAPITAL MANAGEMENT LLC|DDJ CAPITAL MANAGEMENT LLC|141 LINDEN ST||WELLESLEY MA 02482-7910|USA|||  ||WENDY SCHNIPPER CLAYTON|781-283-8500|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|11/03/1997|0|0|0|0|0|0
Boston District Office| 108474|801-44995|GROSSMAN ASSET MANAGEMENT INC|GROSSMAN ASSET MANAGEMENT INC|10 GLENVILLE STREET||GREENWICH CT 06831|USA|||  ||BRUCE WILSON|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 District Office| 108492|801-55105|FAIRVIEW CAPITAL PARTNERS II LP|FAIRVIEW CAPITAL PARTNERS II LP|10 STANFORD DRIVE||FARMINGTON CT 06032|USA|||  ||ARCHER, JOANNE E|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 District 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 District Office| 108522|801-56031|OECHSLE INTERNATIONAL ADVISORS, LLC|OECHSLE INTERNATIONAL ADVISORS, LLC|ONE INTERNATIONAL PLACE||BOSTON MA 02110|USA|||  ||PAULA N. DRAKE|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 District 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 District Office| 108539|801-37422|QUANTITATIVE FINANCIAL STRATEGIES INC|QUANTITATIVE FINANCIAL STRATEGIES INC|10 GLENVILLE STREET||GREENWICH CT 06831|USA|||  ||BRUCE WILSON|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 District Office| 108543|801-55668|LANDMARK EQUITY ADVISORS LLC|LANDMARK EQUITY ADVISORS LLC|10 MILL POND LANE||SIMSBURY CT 06070-2429|USA|||  ||TINA ST. PIERRE|860-651-9760|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/15/1998|0|1|1|0|0|0
Boston District Office| 108572|801-54328|FRANKLIN PORTFOLIO ASSOCIATES LLC|FRANKLIN PORTFOLIO ASSOCIATES LLC|ONE BOSTON PLACE|29TH 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 District Office| 108577|801-55929|PLASTRIDGE JOEL FLETCHER|PLASTRIDGE JOEL FLETCHER|44 MERRIMAC STREET||NEWBURYPORT MA 01950|USA|||  ||MONICA TAFT|978-499-8352|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 District Office| 108586|801-57460|TA REALTY LLC|TA REALTY LLC|28 STATE ST  10TH FLOOR||BOSTON MA 02109|USA|||  ||KAREN MAGNO|(617) 476-2733|Limited Liability Company|Pension consulting services, Other|APPROVED|04/11/2000|0|0|0|0|0|0
Boston District 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 District 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 District Office| 108617|801-3447|FMR CO., INC.|FMR CO., INC.|ONE FEDERAL STREET||BOSTON MA 02110|USA|82 DEVONSHIRE STREET E14B||BOSTON MA 02109|USA|NICHOLAS VITALE|(617)563-7883|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/29/1964|0|3|0|0|0|0
Boston District 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 District Office| 108633|801-53421|AEW CAPITAL MANAGEMENT LP|AEW CAPITAL MANAGEMENT LP|TWO SEAPORT LANE||BOSTON MA 02210-2021|USA|||  ||JAMES J. FINNEGAN|(617) 261-9324|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|12/09/1996|0|0|0|0|0|0
Boston District Office| 108638|801-48034|AEW MANAGEMENT & ADVISORS LP|AEW MANAGEMENT & ADVISORS LP|TWO SEAPORT LANE||BOSTON MA 02210|USA|||  ||JAMES J. FINNEGAN|(617) 261-9324|Partnership|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|12/12/1994|0|0|0|0|0|0
Boston District Office| 108686|801-56015|PEQUOT CAPITAL MANAGEMENT INC|PEQUOT CAPITAL MANAGEMENT INC|500 NYALA FARM ROAD||WESTPORT CT 06880|USA|||  ||ARYEH DAVIS|212-651-3420|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/23/1998|0|0|4|0|0|0
Boston District 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 District 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|1|16|0|0|0|0
Boston District Office| 108720|801-63385|SENTINEL ADVISORY CORP|SENTINEL ADVISORY CORP|396 NORTH STREET||HYANNIS MA 02601|USA|||  ||PETER B. 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 District 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 District 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 District 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 District Office| 108756|801-57495|STRUCTURED PORTFOLIO MANAGEMENT, L.L.C|STRUCTURED PORTFOLIO MANAGEMENT, L.L.C|CLEARWATER HOUSE|2187 ATLANTIC ST 8TH 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 District Office| 108763|801-55953|US FINANCIAL ADVISORS, LLC|U.S. FINANCIAL ADVISORS, LLC|139 WOOD RD||BRAINTREE MA 02184|USA|||  ||MATTHEW J. CUNNINGHAM|781-849-9200|Limited Liability Company|Financial planning services, Portfolio management for 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 District 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|Financial planning services, Other|APPROVED|11/10/1994|0|0|0|0|0|0
Boston District 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 District 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|||  ||JOHN C. BOGLE, JR.|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 District 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 District Office| 108868|801-15330|PROFESSIONAL PLANNING GROUP|NEW ENGLAND PROFESSIONAL PLANNING GROUP INC|9 GRANITE STREET||WESTERLY RI 02891|USA|||  ||LEE ANN KOZORA|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 District Office| 108881|801-23411|JEFFERSON PILOT INVESTMENT ADVISORY CORP|JEFFERSON PILOT INVESTMENT ADVISORY CORP|ONE GRANITE PLACE||CONCORD NH 03301|USA|||  ||MICHAEL W. BOURGAULT|603 226-5371|Corporation|Portfolio management for investment companies|APPROVED|02/01/1985|0|0|0|0|0|0
Boston District 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 District Office| 108897|801-40532|AMERICAN SKANDIA INVESTMENT SERVICES, INC.|AMERICAN SKANDIA 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 District Office| 108910|801-56023|PROGRESSIVE INVESTMENT MANAGEMENT INC|PROGRESSIVE INVESTMENT MANAGEMENT INC|579 PLEASANT ST|SUITE 4|PAXTON MA 01612|USA|||  ||CHRISTOPHER WILLIAMS|(508) 831-1171|Corporation|Portfolio management for investment companies|APPROVED|11/30/1998|0|0|0|0|0|0
Boston District 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 District Office| 108925|801-57536|TRAVELERS ASSET MANAGEMENT INTERNATIONAL CO.,LLC|TRAVELERS ASSET MANAGEMENT INTERNATIONAL CO.,LLC|242 TRUMBULL STREET - 6TS||HARTFORD CT 06103|USA|||  ||PATRICIA ANN UZZEL|860-308-8465|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/28/2000|0|33|4|0|0|0
Boston District Office| 108975|801-57197|THE MASSMUTUAL TRUST COMPANY|THE MASSMUTUAL TRUST COMPANY|140 GARDEN STREET|H590|HARTFORD CT 06154|USA|||  ||DAVID SHEEHAN|860-987-2847|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|02/11/2000|0|1|1|0|0|0
Boston District 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|APPROVED|04/28/1999|0|0|1|0|0|0
Boston District Office| 109013|801-56822|NAVIGATOR INVESTMENT MANAGEMENT, LLC|NAVIGATOR INVESTMENT MANAGEMENT, LLC|10 WEYBOSSET STREET||PROVIDENCE RI 02903|USA|||  ||LESLEY SHEELEY|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 District 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), Selection of other advisers|APPROVED|03/15/2005|0|0|0|0|0|0
Boston District Office| 109094|801-57880|OLD HARBOR CAPITAL MANAGEMENT LLC|OLD HARBOR CAPITAL MANAGEMENT LLC|50 CONGRESS ST|SUITE 222|BOSTON MA 02109-4002|USA|||  ||WILLIAM M. JOSE|617-387-4885|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 District 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 District Office| 109114|801-56304|SKM WEALTH MANAGEMENT LLC|SKM WEALTH MANAGEMENT LLC|55 DORRANCE ST||PROVIDENCE RI 02903|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 District Office| 109115|801-54883|CORRIGAN FINANCIAL INC|CORRIGAN FINANCIAL INC|747 AQUIDNECK AVE||MIDDLETOWN RI 02842|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 District Office| 109120|801-55328|IFR MARKETS, THOMSON MUNICIPAL MARKET DATA|THOMSON GLOBAL MARKETS INC|22 THOMSON PLACE||BOSTON MA 02210|USA|||  ||TERRY GRIFFITH|617-856-2466|Corporation|Publication of periodicals or newsletters, Market timing services, Other|APPROVED|03/10/1998|0|0|0|0|0|0
Boston District 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 District 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 District Office| 109215|801-56408|FIDELITY INVESTORS MANAGEMENT CORP.|FIDELITY INVESTORS MANAGEMENT CORP.|100 SUMMER STREET, 7TH FLOOR||BOSTON MA 02109|USA|82 DEVONSHIRE STREET, E14B||BOSTON MA 02109|USA|NICHOLAS VITALE|(617) 563-7883|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/08/2005|0|6|0|0|0|0
Boston District 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 District 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 District Office| 109223|801-57949|JOHANSEN GROUP, INC.|JOHANSEN GROUP, INC.|28 NORTH MAIN STREET|SUITE 201|WEST HARTFORD CT 06107-1928|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 District 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 District 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 District Office| 109294|801-57530|WITHERBEE DAVID & ASSOCIATES INC|WITHERBEE DAVID & 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 District 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 District Office| 109309|801-55183|RENEWABLE RESOURCES LLC|RENEWABLE RESOURCES LLC|50 ROWES WHARF||BOSTON MA 02110|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 District Office| 109320|801-56449|GMO AUSTRALASIA LLC|GMO AUSTRALASIA LLC|40 ROWES WHARF||BOSTON MA 02110|USA|||  ||JUDITH T. LYDEN|617-346-7528|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/16/1999|0|0|0|0|0|0
Boston District 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 District Office| 109355|801-55094|MDTA LLC|MDTA LLC|125 CAMBRIDGEPARK DRIVE|SUITE 24|CAMBRIDGE MA 02140-2329|USA|||  ||JOHN DUANE|617-234-2200|Limited Liability Company|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|11/13/1997|0|2|0|0|0|0
Boston District 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 District Office| 109396|801-57721|SENTINEL ASSET MANAGEMENT, INC.|SENTINEL ASSET MANAGEMENT, INC.|ONE NATIONAL LIFE DRIVE||MONTPELIER VT 05604|USA|||  ||KERRY A. JUNG|(802) 229-7410|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 District Office| 109403|801-57050|ONEWORLD INVESTMENTS LP|ONEWORLD INVESTMENTS LP|ONE INTERNATIONAL PL|STE 4402|BOSTON MA 02110|USA|||  ||IGNACIO SOSA|6173105182|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/06/1999|0|0|0|0|0|0
Boston District Office| 109405|801-57508|WINDWARD INVESTMENT MANAGEMENT INC|WINDWARD INVESTMENT MANAGEMENT INC|53 STATE STREET, SUITE 1220||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 District Office| 109420|801-57193|GRIMES & COMPANY, INC.|GRIMES & COMPANY, INC.|110 TURNPIKE RD|SUITE 100|WESTBOROUGH MA 01581|USA|||  ||TIMOTHY J. GRIMES|508-366-3883|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/28/2000|0|0|0|0|0|0
Boston District 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 District 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 District 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 District Office| 109498|801-56159|PIOT ASSOCIATES LLC|PIOT ASSOCIATES LLC|231 REACH RD||SEDGWICK ME 04676|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 District Office| 109516|801-57524|FIDELITY PERSONAL TRUST COMPANY, FSB|FIDELITY PERSONAL TRUST COMPANY, FSB|245 SUMMER STREET - 4TH FLOOR||BOSTON MA 02210|USA|200 LIBERTY STREET|MAIL ZONE NY4A|NEW YORK NY 10281|USA|NORMAN ASHKENAS|617-563-1441|Corporation|Selection of other advisers|APPROVED|04/20/2000|0|5|0|0|0|0
Boston District Office| 109530|801-55245|BAUPOST GROUP LLC|BAUPOST GROUP LLC|10 ST. JAMES AVENUE, SUITE 2000||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 District 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 District Office| 109582|801-57294|NORTHCOAST ASSET MANAGEMENT LLC|NORTHCOAST ASSET MANAGEMENT LLC|35 MASON STREET||GREENWICH CT 06830-5433|USA|||  ||WARREN K. GREENE|203-629-1353|Limited Liability Company|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
Boston District 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 District 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 District 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 District Office| 109637|801-56683|BINGHAM LEGG ADVISERS LLC|BINGHAM LEGG ADVISERS LLC|45 MILK STREET||BOSTON MA 02109|USA|||  ||PETER E. SIMMONS|617-457-2020|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|07/14/1999|0|0|0|0|0|0
Boston District 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|30|1|0|0|0
Boston District Office| 109662|801-43579|FUNDQUEST INCORPORATED|FUNDQUEST INCORPORATED|125 HIGH STREET||BOSTON MA 02110|USA|||  ||SCOTT DONNELLY|617-406-2123|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/25/1993|0|0|0|0|0|0
Boston District Office| 109663|801-51879|J A GIBBONS LLC|J A GIBBONS LLC|7 PARSONAGE LANE||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 District 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 businesses or institutional clients (other than investment companies), Other|APPROVED|04/20/2004|0|0|0|0|0|0
Boston District Office| 109684|801-39938|SUN CAPITAL ADVISERS LLC|SUN CAPITAL ADVISERS LLC|ONE SUN LIFE EXECUTIVE PARK|SC 1335|WELLESLEY HILLS MA 02481|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 District Office| 109767|801-9168|CONTRAVISORY RESEARCH & MANAGEMENT CORP.|CONTRAVISORY RESEARCH & MANAGEMENT CORP.|99 DERBY STREET|SUITE 302|HINGHAM MA 02043|USA|||  ||PHILIP A. NOONAN|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 District Office| 109776|801-33044|NEW GENERATION ADVISERS INC|NEW GENERATION ADVISERS INC|225 FRIEND STREET|SUITE 801|BOSTON MA 02114|USA|||  ||GEORGE PUTNAM|617-573-9550|Corporation|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 District 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|28|1|0|0|0
Boston District 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|||  ||STEFANIE A. FIRTELL|212-852-1032|Corporation|Portfolio management for investment companies|APPROVED|08/28/2000|0|4|0|0|0|0
Boston District Office| 109820|801-56744|PERFORMANCE FINANCIAL SERVICES LLC|PERFORMANCE FINANCIAL SERVICES LLC|85 WHITING POND ROAD||FAIRFIELD CT 06430|USA|PO BOX 320023||FAIRFIELD CT 06432|USA|PETER M. MUBANDA|203-259-5669|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/06/1999|0|0|0|0|0|0
Boston District Office| 109824|801-49090|CARDINAL CAPITAL MANAGEMENT, L.L.C.|CARDINAL CAPITAL MANAGEMENT, L.L.C.|ONE FAWCETT PLACE||GREENWICH CT 06830|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 District 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 District 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 District 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|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 District Office| 109901|801-55783|SENTINEL PENSION ADVISORS INC|SENTINEL PENSION ADVISORS INC|601 EDGEWATER DRIVE, SUITE 250||WAKEFIELD MA 01880|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 District 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 District 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|Portfolio management for individuals and/or small businesses|APPROVED|03/12/1993|0|0|0|0|0|0
Boston District 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 District 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)|APPROVED|03/20/1998|0|0|0|0|0|0
Boston District Office| 109979|801-50707|CONTRARIAN CAPITAL MANAGEMENT LLC|CONTRARIAN CAPITAL MANAGEMENT LLC|411 WEST PUTNAM AVENUE, SUITE 225||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|1|0|0|0
Boston District 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 District 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 District Office| 110029|801-57977|ACCESS INVESTMENT ADVISORS LLC|ACCESS INVESTMENT ADVISORS LLC|122 MT. AUBURN STREET||CAMBRIDGE MA 02138|USA|||  ||KENNETH M. LEHMAN|617-374-3707|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/10/2000|0|0|0|0|0|0
Boston District Office| 110037|801-55222|FT INTERACTIVE DATA|FT INTERACTIVE DATA CORPORATION|22 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 District Office| 110043|801-14337|AMERICAN INVESTMENT SERVICES INC|AMERICAN INVESTMENT SERVICES INC|250 DIVISION STREET||GREAT BARRINGTON MA 01230|USA|||  ||JOHN L. BARRY|413-528-1216|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|02/05/1979|0|0|0|0|0|0
Boston District Office| 110045|801-17352|MFS INVESTMENT MANAGEMENT|MASSACHUSETTS FINANCIAL SERVICES COMPANY|500 BOYLSTON STREET||BOSTON MA 02116-3741|USA|||  ||MITCHELL C. FREESTONE|617-954-5835|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/20/1982|0|11|0|0|0|0
Boston District 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 District 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 District 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 District 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|||  ||ELLIS F. RINALDI|203-422-7773|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 District 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 District Office| 110207|801-60051|GM PARTNERS I, LLC|PERFORMANCE EQUITY MANAGEMENT, LLC|2 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 District Office| 110240|801-60043|TRUST AND FIDUCIARY MANAGEMENT SERVICES, INC.|TRUST AND FIDUCIARY MANAGEMENT SERVICES, INC.|33 BROAD STREET, 4TH FLOOR||BOSTON MA 02109|USA|||  ||DANA N. MERRILL|617-896-3695|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 District Office| 110241|801-46159|WARREN ASSET MANAGEMENT|WARREN ASSET MANAGEMENT|2439 MEETINGHOUSE WAY|PO BOX 648|WEST BARNSTABLE MA 02668|USA|||  ||BARRY N. PASTER|(508)362-9566|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/1994|0|0|0|0|0|0
Boston District 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 District Office| 110265|801-57760|KDP ASSET MANAGEMENT INC|KDP ASSET MANAGEMENT INC|24 ELM STREET||MONTPELIER VT 05602|USA|||  ||THOMAS B. BLACKSTONE, CPA|(802) 223-0440|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 District 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|APPROVED|08/15/1975|0|1|0|0|0|0
Boston District Office| 110310|801-55104|FDO PARTNERS|FDO PARTNERS LLC|5 REVERE STREET||CAMBRIDGE MA 02138|USA|||  ||YANA KUCHEVA|(617) 864-7575 X205|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/05/1997|0|0|0|0|0|0
Boston District 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|0|0|0|0|0
Boston District 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, Selection of other advisers, Other|APPROVED|02/11/1983|0|0|0|0|0|0
Boston District Office| 110446|801-33052|BISSET A G & CO INC|BISSET A G & CO INC|71 ROWAYTON AVE||ROWAYTON CT 06853|USA|||  ||ULF J. LINDAHL|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 District Office| 110452|801-48035|BATTERYMARCH FINANCIAL MANAGEMENT INC|BATTERYMARCH FINANCIAL MANAGEMENT INC|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)|APPROVED|12/27/1994|0|0|0|0|0|0
Boston District Office| 110455|801-50988|BROCKHOUSE & COOPER INTERNATIONAL INC|BROCKHOUSE & COOPER INTERNATIONAL INC|ONE FEDERAL STREET|23RD FLOOR|BOSTON MA 02110|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 District Office| 110462|801-9117|CONNECTICUT INVESTMENT MANAGEMENT INC|CONNECTICUT INVESTMENT MANAGEMENT INC|CIM BLD 65 MAIN STREET||CENTERBROOK CT 06409|USA|P.O. BOX 990||ESSEX CT 06426|USA|GERALD A. LONG|860-767-9555|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/28/1973|0|0|0|0|0|0
Boston District Office| 110464|801-50959|NORTHERN TRUST GLOBAL ADVISORS INC|NORTHERN TRUST GLOBAL ADVISORS INC|300 ATLANTIC STREET|SUITE 400|STAMFORD CT 06901|USA|||  ||LAURA A. PACE|203-363-7472|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 District 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.|ROBERT C. HARPER|203-661-2217|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|08/25/1986|0|0|0|0|0|0
Boston District Office| 110477|801-57191|VENUS CAPITAL MANAGEMENT INC|VENUS CAPITAL MANAGEMENT INC|99 SUMMER STREET, STE M100||BOSTON MA 02110|USA|||  ||VIKAS MEHROTRA|617-423-1901|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
Boston District 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 District 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 District 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 District Office| 110539|801-45014|WINDHAM CAPITAL MANAGEMENT, LLC|WINDHAM CAPITAL MANAGEMENT, LLC|5 REVERE STREET||CAMBRIDGE MA 02138|USA|||  ||RON DEWDNEY|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 District 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 District Office| 110562|801-37227|NEW ENGLAND PENSION CONSULTANTS INC|NEW ENGLAND PENSION CONSULTANTS INC|ONE MAIN STREET||CAMBRIDGE MA 02142|USA|||  ||TERRI SACRAMONE|617-374-1300|Corporation|Pension consulting services|APPROVED|08/23/1990|0|1|0|0|0|0
Boston District Office| 110601|801-14519|MEKETA INVESTMENT GROUP INC|MEKETA INVESTMENT GROUP INC|35 BRAINTREE HILL PARK|SECOND FLOOR|BRAINTREE MA 02184|USA|||  ||ALAN SPATRICK|781-356-1400|Corporation|Pension consulting services, Selection of other advisers|APPROVED|04/19/1979|0|0|0|0|0|0
Boston District Office| 110612|801-37963|BYSKO JOHN A ASSOCIATES|BYSKO JOHN A ASSOCIATES|100 HALLS ROAD, P.O. BOX 487||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 District 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 individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|10/05/1993|0|0|0|0|0|0
Boston District 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 District 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 District 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 investment companies, 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 District 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 District Office| 110739|801-14380|NEW ENGLAND RESEARCH & MANAGEMENT, INC.|NEW ENGLAND RESEARCH & MANAGEMENT, INC.|185 DEVONSHIRE STREET||BOSTON MA 02110|USA|||  ||LEE R. FORKER, JR.|(617)-482-9470|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|02/16/1979|0|0|0|0|0|0
Boston District 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), Selection of other advisers|APPROVED|09/21/1994|0|0|0|0|0|0
Boston District 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 District Office| 110831|801-14781|RAM TRUST SERVICES INC|RAM TRUST SERVICES INC|45 EXCHANGE STREET||PORTLAND ME 04101|USA|||  ||WILLIAM S SCHAFFNER|207-775-2354|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|08/15/1979|0|0|0|0|0|0
Boston District 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 District Office| 110860|801-30558|DSI INTERNATIONAL MANAGEMENT, INC.|DSI INTERNATIONAL MANAGEMENT, INC.|400 ATLANTIC STREET, 5TH FLOOR||STAMFORD CT 06901|USA|||  ||JEFFREY B. PICKERING|(312) 525-5951|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|10/09/1987|0|5|1|0|0|0
Boston District Office| 110868|801-11084|MOORS & CABOT INVESTOR SERVICES INC|MOORS & CABOT INVESTOR SERVICES INC|111 DEVONSHIRE STREET||BOSTON MA 02109|USA|||  ||HERBERT A SARKISIAN JR|617-426-0500|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/06/1975|0|4|0|0|0|0
Boston District Office| 110869|801-48726|MOORS & CABOT INC|MOORS & CABOT INC|111 DEVONSHIRE STREET||BOSTON MA 02109|USA|||  ||ROBERT P. CROWELL|617-314-0235|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|03/30/1995|0|18|0|0|0|0
Boston District 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 District Office| 110914|801-52022|DION MONEY MANAGEMENT INC|DION MONEY MANAGEMENT INC|25 MAIN STREET||WILLIAMSTOWN MA 01267|USA|P.O. BOX 387||WILLIAMSTOWN MA 01267|USA|DONALD R. DION, JR.|(413) 458-4700|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/22/1996|0|0|0|0|0|0
Boston District Office| 110926|801-13834|COPLEY FINANCIAL SERVICES CORP|COPLEY FINANCIAL SERVICES CORP|315 PLEASANT STREET|5TH FLOOR|FALL RIVER MA 02721|USA|||  ||PAT TAYLOR|410-754-9376|Corporation|Portfolio management for investment companies|APPROVED|06/02/1978|0|0|0|0|0|0
Boston District Office| 110928|801-17579|PRENTISS SMITH & COMPANY, INC.|PRENTISS SMITH & COMPANY, INC.|950 WESTERN AVENUE||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 District Office| 110950|801-30887|CRUICE FINANCIAL ORGANIZATION|CRUICE INVESTMENT ADVISORS, LTD.|315 POST ROAD WEST||WESTPORT CT 06880|USA|PO BOX 1145||DARIEN CT 06820-1145|USA|J. S. H. CRUICE JR.|203-221-0202|Corporation|Financial planning 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 District Office| 110958|801-24315|CAPITAL FORMATION GROUP, INC.|CAPITAL FORMATION GROUP, INC.|34 WASHINGTON STREET|SUITE 230|WELLESLEY HILLS MA 02481|USA|||  ||JAMES LEE|(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 District Office| 110981|801-18130|BOSTON ADVISORS, INC.|BOSTON ADVISORS, INC.|ONE FEDERAL STREET||BOSTON MA 02110|USA|||  ||TANYA A. KERRIGAN|617-348-3131|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/03/1983|0|0|0|0|0|0
Boston District 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 District Office| 111004|801-26968|FINDELL & CO INC|FINDELL & CO INC|57 59 S MAIN ST||ROCHESTER NH 03867|USA|PO BOX 2036||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 District 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 District Office| 111040|801-19944|ABBOT FINANCIAL MANAGEMENT, INC|ABBOT FINANCIAL MANAGEMENT, INC|1060 OSGOOD STREET|STE 3|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 District Office| 111047|801-37540|PTS ASSET MANAGEMENT|PORTFOLIO TIMING SERVICE|879 CHURCH STREET|ROUTE 68|WALLINGFORD CT 06492|USA|P.O. BOX 4250||WALLINGFORD CT 06492|USA|DALE R. ALDIERI|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 District 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|APPROVED|09/29/1999|0|1|0|0|0|0
Boston District 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 District 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 District Office| 111155|801-63175|FISCAL DYNAMICS INCORPORATED|FISCAL DYNAMICS INCORPORATED|314 FARMINGTON AVENUE SUITE 210||FARMINGTON CT 06032|USA|||  ||RICHARD P. SULLIVAN|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 District 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 District Office| 111169|801-64699|OLD HILL PARTNERS INC|OLD HILL PARTNERS, INC.|1 THORNDAL CIRCLE||DARIEN CT 06820-5421|USA|||  ||TRAVIS M. PAULEY|203-656-3004|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|01/20/2006|0|0|0|0|0|0
Boston District Office| 111185|801-38630|BLUM SHAPIRO FINANCIAL SERVICES INC|BLUM SHAPIRO FINANCIAL SERVICES INC|29 SOUTH  MAIN STREET|PO BOX 272000|WEST HARTFORD CT 06127-2000|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 District Office| 111242|801-60103|SSGA FUNDS MANAGEMENT, INC.|SSGA FUNDS MANAGEMENT, INC.|STATE STREET FINANCIAL CENTER|ONE LINCOLN STREET|BOSTON MA 02111-2900|USA|||  ||PETER A. AMBROSINI|617 664 1211|Corporation|Portfolio management for investment companies|APPROVED|04/06/2001|0|0|0|0|0|0
Boston District 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 District 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 District Office| 111298|801-56633|ARROWSTREET CAPITAL, LIMITED PARTNERSHIP|ARROWSTREET CAPITAL, LIMITED PARTNERSHIP|44 BRATTLE STREET|FLOOR 5|CAMBRIDGE MA 02138|USA|||  ||VAITHEHI MUTTULINGAM|617 547-9999 X222|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 District 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 District 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 District 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), Selection of other advisers|APPROVED|01/07/2000|0|0|1|0|0|0
Boston District 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 District 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 District Office| 111488|801-47973|RETIREMENT ALLIANCE, INC.|RETIREMENT ALLIANCE, INC.|77 PEARL STREET||MANCHESTER NH 03101|USA|||  ||ROBERT BLAIR|603.647.5600|Corporation|Pension consulting services|APPROVED|12/05/1994|0|0|0|0|0|0
Boston District 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 District Office| 111604|801-57610|DIASTOLE WEALTH MANAGEMENT|DIASTOLE WEALTH MANAGEMENT, INC.|1254 BOSTON POST RD.||OLD SAYBROOK CT 06475|USA|||  ||ELIZABETH D. EDEN|860-388-1088|Corporation|Financial planning 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|05/24/2000|0|1|0|0|0|0
Boston District Office| 111614|801-62125|ADVICEONE ADVISORY SERVICES, LLC|ADVICEONE ADVISORY SERVICES, LLC|115 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 District Office| 111656|801-60338|CASTLEKEEP INVESTMENT ADVISORS|CASTLEKEEP INVESTMENT ADVISORS LLC|253 RIVERSIDE AVENUE|1ST FLOOR|WESTPORT CT 06880-4816|USA|||  ||CHARLES WESLEY KELAKOS HABERSTROH|203.226.0864|Limited Liability Company|Financial planning 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 District 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 District 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 District Office| 111729|801-42306|DILMUN INVESTMENT'S INC|DILMUN INVESTMENTS, INC|84 WEST PARK PLACE|5TH 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 District Office| 111744|801-56871|CRA ROGERSCASEY LLC|CRA ROGERSCASEY LLC|ONE PARKLANDS DRIVE||DARIEN CT 06820|USA|||  ||ALAN J. RESLER|203-656-5900|Limited Liability Company|Pension consulting services, Selection of other advisers, Other|APPROVED|10/05/1999|0|0|0|0|0|0
Boston District 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 investment companies, 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 District Office| 111761|801-60595|WESTON CAPITAL ASSET MANAGEMENT LLC|WESTON CAPITAL ASSET MANAGEMENT LLC|264 RIVERSIDE AVENUE||WESTPORT CT 06880|USA|||  ||KRISTEN LEOPOLD|203.571.5055|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 District Office| 111773|801-43106|FOREST INVESTMENT MANAGEMENT, LLC|FOREST INVESTMENT MANAGEMENT, LLC|53 FOREST AVENUE||OLD GREENWICH CT 06870|USA|||  ||STEPHEN C. ELLWOOD|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 District Office| 111774|801-39989|CRA ROGERSCASEY, INC.|CRA ROGERSCASEY, INC.|ONE PARKLANDS DRIVE||DARIEN CT 06820|USA|||  ||ALAN J. RESLER|203-656-5900|Corporation|Pension consulting services, Selection of other advisers, Other|APPROVED|12/05/1991|0|0|1|0|0|0
Boston District 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 District 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 District Office| 111830|801-56801|ALLIED PROFESSIONAL ADVISORS INC.|ALLIED PROFESSIONAL ADVISORS INC.|ONE GRANITE PLACE||CONCORD NH 03301|USA|||  ||MICHAEL W. BOURGAULT|(603) 226-5983|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|09/07/1999|0|6|0|0|0|0
Boston District Office| 111840|801-43288|CROW HILL CAPITAL, LTD.|CROW HILL CAPITAL, LTD.|MOUNTAIN TOP FARM||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 District 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 District 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 District Office| 111895|801-60450|EFFICIENT FRONTIER ADVISORS LLC|EFFICIENT FRONTIER ADVISORS LLC|108 COUNTY ROAD (PO BOX 237)||EASTFORD CT 06242|USA|||  ||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 District 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 District Office| 111910|801-60166|INVESTORS BANK & TRUST COMPANY - ADVISORY DIVISION|INVESTORS BANK & TRUST COMPANY|200 CLARENDON STREET||BOSTON MA 02116|USA|||  ||MICHAEL F. ROGERS|617-937-6700|Other (specify)|Portfolio management for investment companies|APPROVED|04/13/2001|0|0|0|0|0|0
Boston District Office| 111980|801-53325|CYPRESSTREE INVESTMENT MANAGEMENT COMPANY, INC.|CYPRESSTREE INVESTMENT MANAGEMENT COMPANY, INC.|ONE BOSTON PLACE|16TH FLOOR|BOSTON MA 02108|USA|||  ||JOSEPH CANAVAN|617-371-9334|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/11/1996|0|0|0|0|0|0
Boston District Office| 112044|801-51140|TQA INVESTORS, LLC.|TQA INVESTORS, LLC|333 LUDLOW STREET||STAMFORD CT 06902|USA|||  ||BARTHOLOMEW TESORIERO|203-653-3000|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/31/1995|0|0|0|0|0|0
Boston District 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 District Office| 112094|801-60082|EXCALIBUR ADVISORS LLC|EXCALIBUR ADVISORS, L.L.C.|1455 E. PUTNAM AVENUE||OLD GREENWICH CT 06870|U.S.A.|||  ||CHRISTOPHER E. DEAKINS|203-637-8699|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|03/19/2001|0|0|0|0|0|0
Boston District 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 District Office| 112160|801-56579|QUARVE ASSOCIATES, LLC|QUARVE ASSOCIATES, LLC|ONE ATLANTIC STREET, 4TH FL.||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|0|0|0|0|0
Boston District 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|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|12/22/2000|0|0|0|0|0|0
Boston District 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 District 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 District Office| 112243|801-58282|APEX INVESTMENT SERVICES, INC.|APEX INVESTMENT SERVICES, INC.|3 FOREST VIEW LANE||HEBRON CT 06248-1275|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 District 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 District Office| 112302|801-60500|FEDERAL STREET PARTNERS, LLC|FEDERAL STREET PARTNERS, LLC|750 WASHINGTON BOULEVARD|5TH 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 District Office| 112312|801-49607|HUTCHENS INVESTMENT MANAGEMENT INC|HUTCHENS INVESTMENT MANAGEMENT INC|114 N MAIN ST.|SUITE 302|CONCORD NH 03301|USA|||  ||WILLIAM DAVID HUTCHENS|603-227-5256|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|07/10/1995|0|0|0|0|0|0
Boston District Office| 112320|801-6068|FRASER MANAGEMENT ASSOCIATES, INC.|FRASER MANAGEMENT ASSOCIATES, INC.|309 SOUTH WILLARD ST.||BURLINGTON VT 05401|USA|||  ||W. ALEX SEAGLE|802-658-0322|Corporation|Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|10/29/1969|0|0|0|0|0|0
Boston District 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 District Office| 112332|801-56643|INTERCONTINENTAL REAL ESTATE CORPORATION|INTERCONTINENTAL REAL ESTATE CORPORATION|1270 SOLDIERS FIELD RD||BOSTON MA 02135-1003|USA|||  ||KENDALL BROOK|(617) 782-2600|Corporation|Pension consulting services, Other|APPROVED|07/23/1999|0|0|0|0|0|0
Boston District 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 District 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 District Office| 112379|801-13549|SOUND SHORE MANAGEMENT INC|SOUND SHORE MANAGEMENT INC|8 SOUND SHORE DR., SUITE 180||GREENWICH CT 06830|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 District Office| 112442|801-39630|GREEN CENTURY CAPITAL MANAGEMENT INC|GREEN CENTURY CAPITAL MANAGEMENT INC|29 TEMPLE PL SUITE 200||BOSTON MA 02111|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 District Office| 112485|801-55976|MINTZ LEVIN FINANCIAL ADVISORS LLC|MINTZ LEVIN FINANCIAL ADVISORS LLC|ONE FINANCIAL CTR.||BOSTON MA 02111|USA|||  ||ROBERT J. GLOVSKY|(617) 348-1737|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 District Office| 112493|801-56399|ELLINGTON MANAGEMENT GROUP, L.L.C.|ELLINGTON MANAGEMENT GROUP, L.L.C.|53 FOREST AVENUE, 2ND FLOOR||OLD GREENWICH CT 06870|USA|||  ||GARRET FILLER|(203)698-1200|Limited Liability Company|Other|APPROVED|04/01/1999|0|0|0|0|0|0
Boston District 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 District 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 District Office| 112592|801-47268|MILESTONE CAPITAL MANAGEMENT|MILESTONE CAPITAL MANAGEMENT, LLC|115 E. PUTNAM AVENUE||GREENWICH CT 06830|USA|||  ||BARBARA HOPE GENTILE|203-983-7500|Limited Liability Company|Portfolio management for investment companies|APPROVED|09/14/1994|0|0|0|0|0|0
Boston District 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|Other|APPROVED|08/06/2001|0|9|2|0|0|0
Boston District Office| 112637|801-60236|FREED FIESTA, LLC|FREED FIESTA, LLC|396 COMMONWEALTH, SUITE D2A||BOSTON MA 02215|USA|||  ||JOHN ROBERT FIESTA|617-424-1200|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/23/2001|0|0|0|0|0|0
Boston District Office| 112682|801-60277|UST ADVISERS, INC.|UST ADVISERS, INC.|225 HIGH RIDGE ROAD|WEST BUILDING|STAMFORD CT 06905|USA|||  ||STEFANIE AIMEE FIRTELL|212-852-1032|Corporation|Portfolio management for investment companies|APPROVED|06/15/2001|0|2|0|0|0|0
Boston District 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|3|0|0|0|0
Boston District 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 District 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 District 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 District Office| 113073|801-29678|CBA HUNTOON HASTINGS, INC|CBA HUNTOON HASTINGS, INC|C/O CHESLOCK BAKKER & ASSOCIATES|695 E. MAIN STREET|STAMFORD CT 06901|USA|||  ||CRISTINA MARINA|203 548-9235|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/12/1987|0|0|0|0|0|0
Boston District Office| 113150|801-44464|TAURUS ADVISORY GROUP LLC|TAURUS ADVISORY GROUP LLC|2 LANDMARK SQUARE||STAMFORD CT 06901|USA|||  ||JAMES TAGLIAFERRI|203-977-7677|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|07/30/1993|0|0|0|0|0|0
Boston District Office| 113155|801-20900|TAURUS ADVISORY GROUP INC|TAURUS ADVISORY GROUP INC|2 LANDMARK SQUARE|SUITE 211|STAMFORD CT 06901|USA|||  ||JAMES TAGLIAFERRI|203-977-7677|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
Boston District 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|Financial planning 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|06/22/2001|0|0|0|0|0|0
Boston District Office| 113261|801-19890|COBEY JACOBSON & GORDON INC|COBEY JACOBSON & GORDON INC|10 LIBERTY SQUARE||BOSTON MA 02109|USA|||  ||H. TODD COBEY|617.423.1028|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|09/27/1983|0|0|0|0|0|0
Boston District 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|2|0|0|0
Boston District Office| 113286|801-60561|WEYLAND CAPITAL MANAGEMENT LLC|WEYLAND FINANCIAL GROUP LLC|135 MARKET STREET||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|APPROVED|09/07/2001|0|0|0|0|0|0
Boston District Office| 113314|801-60409|BANK STREET INVESTMENT ADVISORS, LLC|BANK STREET INVESTMENT ADVISORS, LLC|171 MARKET SQUARE|SUITE 101|NEWINGTON CT 06111|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 District Office| 113330|801-58247|ALPHA CAPITAL RESEARCH, LLC|ALPHA CAPITAL RESEARCH, LLC|703 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 District Office| 113467|801-60353|FAIRVIEW CAPITAL PARTNERS III, L.L.C.|FAIRVIEW CAPITAL PARTNERS III, L.L.C.|10 STANFORD DRIVE||FARMINGTON CT 06032|USA|||  ||JOANNE E. ARCHER|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 District Office| 113608|801-60374|AXA INVESTMENT MANAGERS INC|AXA INVESTMENT MANAGERS INC|ONE FAWCETT PLACE||GREENWICH CT 06830|USA|||  ||ROBIN CLARK|+44 207 003 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|06/25/2001|0|0|0|0|0|0
Boston District Office| 113641|801-61745|LOUDON INVESTMENT MANAGEMENT, LLC|LOUDON INVESTMENT MANAGEMENT, LLC|24 AIRPORT ROAD||WEST LEBANON NH 03784|USA|221 COLUMBUS JORDAN ROAD||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 District 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 District Office| 113972|801-60527|STANDISH MELLON ASSET MANAGEMENT COMPANY LLC|STANDISH MELLON ASSET MANAGEMENT COMPANY LLC|MELLON FINANCIAL CENTER|ONE BOSTON PLACE, STE. 024-0344|BOSTON MA 02108-4408|USA|||  ||KRISTIE KRAEUTER|412-236-9602|Limited Liability Company|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 District Office| 114021|801-60462|ALGONQUIN ADVISORS LLC|ALGONQUIN ADVISORS LLC|2 GREENWICH OFFICE PARK, 2ND FL.||GREENWICH CT 06831|USA|||  ||ROGER MARMENT|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 District Office| 114081|801-60465|ANDOR CAPITAL MANAGEMENT, L.L.C.|ANDOR CAPITAL MANAGEMENT, L.L.C.|107 ELM STREET|7TH FLOOR|STAMFORD CT 06902|USA|||  ||KEVIN E. O'BRIEN|203-588-2000|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 District Office| 114122|801-60557|SSARIS ADVISORS LLC|SSARIS ADVISORS LLC|695 EAST MAIN STREET|SUITE 102|STAMFORD CT 06901|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 District Office| 114335|801-8517|PAX WORLD MANAGEMENT CORP.|PAX WORLD MANAGEMENT CORP.|222 STATE STREET||PORTSMOUTH NH 03801|USA|||  ||LEE D. UNTERMAN|212-867-9500|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/24/1972|0|0|0|0|0|0
Boston District 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 District 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 District 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 District 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)|APPROVED|08/21/2001|0|0|0|0|0|0
Boston District Office| 114835|801-61045|CLM CAPITAL MANAGEMENT LLC|CLM CAPITAL MANAGEMENT LLC|135 MARKET STREET||PORTSMOUTH NH 03801|USA|P.O. BOX 1246||PORTSMOUTH NH 03802-1246|USA|POLLY HENKEL|603-427-2095|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|04/08/2002|0|0|0|0|0|0
Boston District 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, Selection of other advisers, Other|APPROVED|09/05/2001|0|1|0|0|0|0
Boston District 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|Portfolio management 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|08/24/2001|0|0|0|0|0|0
Boston District 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 District 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 District Office| 115324|801-60583|BALLYROCK INVESTMENT ADVISORS, LLC|BALLYROCK INVESTMENT ADVISORS, LLC|82 DEVONSHIRE STREET, F5E||BOSTON MA 02109|USA|82 DEVONSHIRE ST, E14B||BOSTON MA 02109|USA|NICHOLAS VITALE|(617) 563-7883|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 District Office| 115390|801-66152|CEPONIS FINANCIAL GROUP|CEPONIS, DAVID J.|195 DANBURY ROAD||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 District 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 District Office| 115495|801-61081|LEGACY FINANCIAL SERVICES, INC.|LEGACY FINANCIAL SERVICES, INC.|ONE CRANBERRY HILL||LEXINGTON MA 02421|USA|||  ||MARGARETDIEFENDERFER|781-860-0353|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/18/2002|0|0|0|0|0|0
Boston District Office| 115504|801-61117|GEODE CAPITAL MANAGEMENT, LLC|GEODE CAPITAL MANAGEMENT, LLC|53 STATE STREET|5TH FLOOR|BOSTON MA 02109|USA|53 STATE STREET, 5TH 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 District 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 District Office| 115638|801-60594|PELICAN INVESTMENT MANAGEMENT|PELICAN INVESTMENT MANAGEMENT|ONE BOSTON PLACE|1650|BOSTON MA 02108|USA|||  ||MICHELE SILVA|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 District Office| 115720|801-66151|EQUINOX FINANCIAL ADVISORS, INC|EQUINOX FINANCIAL ADVISORS, INC.|16 LINCOLN AVENUE|PO BOX 1586|MANCHESTER CENTER VT 05255|USA|||  ||DAVID L. FIELDING|802-362-2691|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 District Office| 116176|801-61288|WELLESLEY INVESTMENT ADVISORS, INC.|WELLESLEY INVESTMENT ADVISORS, INC.|20 WILLIAM STREET|SUITE G5|WELLESLEY MA 02481|USA|||  ||GREG MILLER|781-416-4000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/27/2002|0|0|0|0|0|0
Boston District 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 District 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 District 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 District Office| 116442|801-60657|CCR WEALTH MANAGEMENT, LLC|CCR WEALTH MANAGEMENT, LLC|1400 COMPUTER DR||WESTBOROUGH MA 10581|USA|||  ||LISA ALDEN|508 926 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), Other|APPROVED|10/31/2001|0|0|0|0|0|0
Boston District 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|Portfolio management for individuals and/or small businesses|APPROVED|10/26/2001|0|0|0|0|0|0
Boston District 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, Publication of periodicals or newsletters|APPROVED|06/07/2004|0|0|0|0|0|0
Boston District Office| 116663|801-63316|CREEGAN & NASSOURA FINANCIAL GROUP, LLC|CREEGAN & NASSOURA FINANCIAL GROUP, LLC|25 PATRIOTS ROAD||STRATHAM NH 03885|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 District Office| 116817|801-62463|BARKER FINANCIAL GROUP, INC.|BARKER FINANCIAL GROUP, INC.|3 BURLINGTON WOODS DRIVE|SUITE 302|BURLINGTON MA 01803|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 District Office| 116822|801-60817|EAST HILL MANAGEMENT COMPANY, LLC|EAST HILL MANAGEMENT COMPANY, LLC|200 CLARENDON STREET|SUITE 6000|BOSTON MA 02116-5028|USA|||  ||JEFFREY S. GARNER|(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 District Office| 116823|801-65420|THE FOUNDRY FINANCIAL GROUP, INC.|THE FOUNDRY FINANCIAL GROUP, INC.|67 WATER STREET|SUITE 101 A|LACONIA NH 03246|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), Other|APPROVED|02/01/2006|0|0|0|0|0|0
Boston District 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 District Office| 116945|801-58277|DECISION CAPITAL LLC|DECISION CAPITAL LLC|537 STEAMBOAT ROAD|SUITE 200|GREENWICH CT 06830|USA|||  ||ROBERT LOGAN|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 District Office| 117095|801-60719|JHC CAPITAL MANAGEMENT, LLC|JHC CAPITAL MANAGEMENT, LLC|8 SOUND SHORE DRIVE|SUITE 215|GREENWICH CT 06830|USA|||  ||JONATHAN COHEN|203-661-2594|Limited Liability Company|Portfolio management for investment companies, Other|APPROVED|11/29/2001|0|0|0|0|0|0
Boston District 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 District Office| 117191|801-61181|AFFINITY INVESTMENT GROUP, LLC|AFFINITY INVESTMENT GROUP, LLC|12 STRING BRIDGE||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 District 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.|JOHN A. LUMBARD|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 District Office| 117205|801-64267|NORTHSTAR FINANCIAL PLANNING, INC.|NORTHSTAR FINANCIAL PLANNING, INC.|1 COMMONS DRIVE|UNIT #10, BUILDING B|LONDONBERRY NH 03053|USA|||  ||SAMUEL PRENTISS HULL, JR.|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 District 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 District Office| 117327|801-61013|FINANCIAL FOCUS, INC.|FINANCIAL FOCUS, INC.|36 CENTER STREET|SUITE#4|WOLFEBORO FALLS NH 03896|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, Publication of periodicals or newsletters|APPROVED|03/19/2002|0|0|0|0|0|0
Boston District 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 District 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 District Office| 117590|801-61009|DUKE FUNDING MANAGEMENT, L.L.C.|DUKE FUNDING MANAGEMENT, L.L.C.|53 FOREST AVENUE, 2ND FLOOR||OLD GREENWICH CT 06870|USA|||  ||GARRET FILLER|(203) 698-2039|Limited Liability Company|Other|APPROVED|04/05/2002|0|0|0|0|0|0
Boston District Office| 117614|801-66297|MARTEL DOROW, INC.|MARTEL DOROW, INC.|500 MARKET STREET, UNIT 1-B||PORTSMOUTH NH 03801|USA|||  ||RONALD P. MARTEL|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 District Office| 117715|801-64156|FOCUS CAPITAL|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 District 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|0|0|0|0|0
Boston District 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 District Office| 118097|801-60890|FRONTPOINT PARTNERS LLC|FRONTPOINT PARNTERS LLC|TWO GREENWICH PLAZA|FOURTH FLOOR|GREENWICH CT 06830|USA|||  ||ARTHUR J. LEV|203-622-5235|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 District 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 District Office| 118113|801-63038|ARLEN CAPITAL, LLC|ARLEN CAPITAL, LLC|121 SOUTH MAIN STREET|SEVENTH FLOOR|PROVIDENCE RI 02903|USA|||  ||FRANK P. MCGOFF|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 District Office| 118164|801-65294|LONGMEADOW INVESTMENT ADVISORS LLC|LONGMEADOW INVESTMENT ADVISORS LLC|175 DWIGHT ROAD|SUITE 204|LONGMEADOW MA 01106|USA|P.O. BOX 426||EAST LONGMEADOW MA 01028|USA|JOSEPH STRASSLER DORISON|413-567-8200|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|01/13/2006|0|0|0|0|0|0
Boston District Office| 118404|801-60852|SEAMANS CAPITAL MANAGEMENT, LTD.|SEAMANS CAPITAL MANAGEMENT, LTD.|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 District Office| 118535|801-61859|K2 ADVISORS, L.L.C.|K2 ADVISORS, L.L.C.|300 ATLANTIC STREET|12TH FLOOR|STAMFORD CT 06901|USA|||  ||ELENA G. DE MADARIAGA|203-905-5352|Limited Liability Company|Other|APPROVED|03/21/2003|0|0|0|0|0|0
Boston District 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 District Office| 118708|801-60833|STANDARD LIFE INVESTMENTS (USA) LIMITED|STANDARD LIFE INVESTMENTS (USA) LIMITED|ONE BEACON STREET|34TH FLOOR|BOSTON MA 02108|USA|||  ||GILLIAN MORGAN|+44 131 245 2881|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/10/2002|0|0|0|0|0|0
Boston District 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 District 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)|APPROVED|01/30/2002|0|0|0|0|0|0
Boston District 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), Other|APPROVED|01/30/2002|0|0|0|0|0|0
Boston District 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 District 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)|APPROVED|03/08/2002|0|0|0|0|0|0
Boston District 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 District 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|||  ||PETER D. FIELD|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 District Office| 119283|801-61576|D.G. CAPITAL MANAGEMENT, INC.|D.G. CAPITAL MANAGEMENT, INC.|260 FRANKLIN STREET|SUITE 1600|BOSTON MA 02110|USA|||  ||MANU PRAFULL DAFTARY|617-896-1500|Corporation|Portfolio 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 District 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 District Office| 119475|801-61029|GUGGENHEIM REAL ESTATE LLC|GUGGENHEIM REAL ESTATE LLC|FOUR COPLEY PLACE|SUITE 4602|BOSTON MA 02116|USA|||  ||MICHAEL D. DELLA FERA|617-536-5515|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 District 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 District Office| 119626|801-61018|HAMBRECHT & QUIST CAPITAL MANAGEMENT LLC|HAMBRECHT & QUIST CAPITAL MANAGEMENT LLC|30 ROWES WHARF|SUITE 430|BOSTON MA 02110|USA|||  ||KATHLEEN ECKERT|617-772-8515|Limited Liability Company|Portfolio management for investment companies|APPROVED|03/29/2002|0|0|0|0|0|0
Boston District 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 District 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, Pension consulting services, Publication of periodicals or newsletters|APPROVED|04/16/2002|0|0|0|0|0|0
Boston District Office| 119696|801-61940|COLMAN KNIGHT ADVISORY GROUP, LLC|COLMAN KNIGHT ADVISORY GROUP, LLC|18 AUDUBON LANE||CARLISLE MA 01741|USA|||  ||RICHARD KEITH COLMAN|978-371-2015|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|04/16/2003|0|0|0|0|0|0
Boston District Office| 119780|801-60993|FREEDOM CAPITAL MANAGEMENT LLC|FREEDOM CAPITAL MANAGEMENT LLC|155 FEDERAL STREET, 16TH. FL.||BOSTON MA 02110-1727|USA|||  ||MAUREEN M. RENZI|617-722-4706|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/18/2002|0|0|0|0|0|0
Boston District 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 District Office| 120152|801-61285|MCLANE QICC MANAGEMENT, LLC|MCLANE QICC MANAGEMENT, LLC|900 ELM STREET||MANCHESTER NH 03101|USA|BOX 326||MANCHESTER NH 03105-0326|U.S.A.|RICHARD A. SAMUELS|603-625-6464|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/05/2002|0|0|0|0|0|0
Boston District Office| 120175|801-61079|BAINBRIDGE CAPITAL MANAGEMENT, LLC|BAINBRIDGE CAPITAL MANAGEMENT, LLC|TWO PORTLAND SQUARE|1ST FLOOR|PORTLAND ME 04101|USA|||  ||NANETTE K. CHERN|(207) 553-7111|Limited Liability Company|Portfolio management for investment companies|APPROVED|05/07/2002|0|0|0|0|0|0
Boston District Office| 120178|801-62803|CHARLES J. MEANS & CO., LLC|CHARLES J. MEANS & CO., LLC|365 EDDY STREET, 4TH FLOOR||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 District 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 District 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 District 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 District 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 District 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 District Office| 120532|801-61426|SOUNDVIEW CAPITAL MANAGEMENT CORPORATION|SOUNDVIEW CAPITAL MANAGEMENT CORPORATION|31 WHITNEY AVENUE||NEW HAVEN CT 06510-1219|USA|||  ||CHRISTOPHER GETMAN|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 District 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 District Office| 120632|801-61492|UPROMISE INVESTMENT ADVISORS, LLC|UPROMISE INVESTMENT ADVISORS, LLC|117 KENDRICK STREET||NEEDHAM MA 02494|USA|||  ||PATRICK W. MCKEON|781-707-8537|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|09/27/2002|0|0|0|0|0|0
Boston District Office| 120648|801-61168|FEDERAL STREET ADVISERS, INC.|FEDERAL STREET ADVISERS, INC.|750 WASHINGTON BOULEVARD|5TH 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 District Office| 120663|801-61234|PARTNERS CAPITAL INVESTMENT GROUP, LLC|PARTNERS CAPITAL INVESTMENT GROUP, LLC|30 ROWES WHARF|5TH FLOOR|BOSTON MA 02110|USA|||  ||WILLIAM W FOX|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 District 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 District 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 District Office| 120859|801-66086|FIRST NATIONAL CORPORATION|FIRST NATIONAL CORPORATION|1001 HINGHAM STREET||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), Selection of other advisers|APPROVED|02/01/2006|0|0|0|0|0|0
Boston District Office| 120870|801-64808|CHARTER OAK CAPITAL MANAGEMENT|CHARTER OAK CAPITAL MANAGEMENT|68 MAIN STREET|SUITE 3|KENNEBUNK ME 04043|USA|||  ||EUGENE R. AKERBERG|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 District Office| 120911|801-62975|DORFMAN INVESTMENTS LLC|DORFMAN INVESTMENTS LLC|10 LANGLEY ROAD|SUITE 500|NEWTON CENTRE MA 02459|USA|||  ||JOHN ROGER DORFMAN|(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 District Office| 120982|801-61342|SYMMETRY PARTNERS|SYMMETRY PARTNERS, LLC.|500 WINDING BROOK DRIVE||GLASTONBURY CT 06033|USA|||  ||PATRICK A. SWEENY|860-659-8555|Limited 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|07/26/2002|0|0|0|0|0|0
Boston District 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 investment companies, 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 District 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 District Office| 121204|801-61263|TD BANKNORTH INVESTMENT ADVISORS|TD BANKNORTH, N.A.|ONE PORTLAND SQUARE|P.O. BOX 9544|PORTLAND ME 04112-9544|USA|||  ||WARNER W. PRICE|(207) 828-7508|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|06/19/2002|0|0|0|0|0|0
Boston District 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|APPROVED|06/28/2002|0|0|0|0|0|0
Boston District 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 District Office| 121486|801-61689|TEQUESTA CAPITAL ADVISORS|TEQUESTA CAPITAL ADVISORS LIMITED PARTNERSHIP|55 POST ROAD W.|SUITE 310|WESTPORT CT 06880|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 District Office| 121942|801-61559|GANNETT WELSH & KOTLER, LLC|GANNETT WELSH & KOTLER, LLC|222 BERKELEY STREET|15TH FLOOR|BOSTON MA 02116|USA|||  ||HAROLD G. KOTLER|617-236-8900|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies|APPROVED|11/18/2002|0|1|0|0|0|0
Boston District 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 District 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 District Office| 122149|801-61918|SPRUCE PRIVATE INVESTORS, LLC|SPRUCE PRIVATE INVESTORS, LLC|3 PARKLANDS DRIVE||DARIEN CT 06820|USA|||  ||JOHN C. BAILEY|(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 District Office| 122178|801-61512|FAIRVIEW VENTURE MANAGEMENT II, L.L.C.|FAIRVIEW VENTURE MANAGEMENT II, L.L.C.|10 STANFORD DRIVE||FARMINGTON CT 06032|USA|||  ||JOANNE E. ARCHER|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 District 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 District Office| 122258|801-61448|SCS CAPITAL MANAGEMENT LLC|SCS CAPITAL MANAGEMENT LLC|610 LINCOLN STREET||WALTHAM MA 02451|USA|||  ||WILLIAM WALSER|781-290-4422|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|09/06/2002|0|0|0|0|0|0
Boston District 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 District Office| 122370|801-62235|GLEACHER FUND ADVISORS LP|GLEACHER FUND ADVISORS LP|ONE FAWCETT PLACE||GREENWICH CT 06830|USA|||  ||ASHLEIGH C. SWAYZE|203-302-4700|Other (specify)|Selection of other advisers, Other|APPROVED|06/30/2003|0|0|0|0|0|0
Boston District 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 District Office| 122601|801-64880|HART CAPITAL LLC|HART CAPITAL LLC|131 ROWAYTON AVENUE||ROWAYTON CT 06853|USA|||  ||STEVEN W. HART|203 857-6050|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/29/2005|0|0|0|0|0|0
Boston District Office| 122613|801-63299|ADVISORY ONE, INC.|ADVISORY ONE, INC.|406 FARMINGTON AVENUE||FARMINGTON CT 06032|USA|||  ||BRIAN J. MYLOD|860-676-7754|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/29/2004|0|0|0|0|0|0
Boston District Office| 122639|801-63561|BEACON INVESTMENT MANAGEMENT, LLC|BEACON INVESTMENT MANAGEMENT, LLC|11 BEACH STREET||MANCHESTER MA 01944|UNITED STATES|11 BEACH STREET||MANCHESTER MA 01944|USA|ELIZABETH KROSS|978-526-8599|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 District 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), Selection of other advisers|APPROVED|10/18/2002|0|1|0|0|0|0
Boston District Office| 122888|801-62097|SOUTHERN CROSS CAPITAL, LLC|SOUTHERN CROSS CAPITAL, LLC|33 RIVERSIDE AVENUE|5TH FLOOR|WESTPORT CT 06880|USA|||  ||GUY R. SHUTT|203-222-2060|Limited Liability Company|Other|APPROVED|05/28/2003|0|0|0|0|0|0
Boston District 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 District Office| 123021|801-61518|ALADDIN CAPITAL MANAGEMENT LLC|ALADDIN CAPITAL MANAGEMENT LLC|THREE LANDMARK SQUARE||STAMFORD CT 06901|USA|||  ||KIERAN C. LYONS|203-487-6746|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/09/2002|0|0|0|0|0|0
Boston District 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 District 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 District Office| 123108|801-63699|WEISS CAPITAL MANAGEMENT, INC.|WEISS CAPITAL MANAGEMENT, INC.|251 CATERINA HEIGHTS||CONCORD MA 01742-4774|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 District 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 District Office| 123438|801-62602|SORA ASSOCIATES, LLC|SORA ASSOCIATES, LLC|80 FIRE HOUSE ROAD||HARPSWELL ME 04079|USA|P.O. BOX 297||HARPSWELL ME 04079|USA|LEIGHTON H. MCILVAINE, JR.|207-833-0800|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 District Office| 123525|801-62519|RMR ADVISORS, INC.|RMR ADVISORS, INC.|400 CENTRE STREET||NEWTON MA 02458|USA|||  ||THOMAS M. O'BRIEN|617-796-8156|Corporation|Portfolio management for investment companies|APPROVED|11/19/2003|0|0|0|0|0|0
Boston District Office| 123546|801-64500|PROSPECTOR PARTNERS, LLC|PROSPECTOR PARTNERS, LLC|370 CHURCH STREET||GUILFORD CT 06437|USA|||  ||PETER N. PERUGINI|203-458-1500|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 District 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 District Office| 123796|801-61630|REX CAPITAL ADVISORS, LLC|REX CAPITAL ADVISORS, LLC|50 PARK ROW WEST|SUITE 113|PROVIDENCE RI 02903|USA|||  ||HEATHER D. CROSBY|(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 District 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|||  ||ELENA G. DE MADARIAGA|203-905-5352|Limited Liability Company|Other|APPROVED|03/11/2003|0|0|0|0|0|0
Boston District 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 District 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 District Office| 124062|801-62001|ATHENA CAPITAL ADVISORS, INC.|ATHENA CAPITAL ADVISORS, INC.|55 OLD BEDFORD RD||LINCOLN MA 01773|USA|||  ||KEN COOPERMAN|781-274-9300|Corporation|Financial planning services, 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 District Office| 124159|801-61936|PINE STREET ADVISORS, LLC|PINE STREET ADVISORS, LLC|262 HARBOR DRIVE||STAMFORD CT 06902|USA|||  ||DAVID AMSTER|203-569-6441|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/25/2003|0|0|0|0|0|0
Boston District 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 District 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 District Office| 124391|801-61842|CAMELOT MANAGEMENT CORPORATION|CAMELOT MANAGEMENT CORPORATION|3 PICKWICK PLAZA 4TH FLOOR||GREENWICH CT 06830|USA|||  ||HEIDI 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 District 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 District Office| 124637|801-61712|STRATEGIC POINT RETIREMENT PLAN SERVICES LLC|STRATEGIC POINT RETIREMENT PLAN SERVICES LLC|220 WEST EXCHANGE STREET|SUITE 300|PROVIDENCE RI 02903|USA|||  ||DAVID F. BROCHU|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), Pension consulting services|APPROVED|12/31/2002|0|0|0|0|0|0
Boston District 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 businesses or institutional clients (other than investment companies)|APPROVED|01/27/2003|0|1|0|0|0|0
Boston District 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 District 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 District Office| 124744|801-62016|MARINER INVESTMENT GROUP, INC.|MARINER INVESTMENT GROUP, INC.|100 FEDERAL STREET|29TH FLOOR|BOSTON MA 02110|USA|||  ||RUSSELL A. THOMPSON|617-439-3540|Corporation|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 District 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 District Office| 124843|801-61794|TALMAGE ASSET MANAGEMENT, LLC|TALMAGE ASSET MANAGEMENT, LLC|TWO STAMFORD PLAZA, 7TH FLOOR|281 TRESSER, BLVD.|STAMFORD CT 06901|USA|||  ||JOHN C. MAXWELL, III|203-487-0800|Limited Liability Company|Other|APPROVED|02/11/2003|0|0|0|0|0|0
Boston District 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|APPROVED|03/27/2003|0|0|0|0|0|0
Boston District 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|413-997-2006|Corporation|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 District Office| 124994|801-63359|HORIZONS WEST CAPITAL PARTNERS, LLC|HORIZONS WEST CAPITAL PARTNERS, LLC|24 HUCKLEBERRY ROAD||HOPKINTON MA 01748|USA|||  ||STEVEN MACNAMARA|508-259-1908|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, Security ratings or pricing services, Other|APPROVED|07/16/2004|0|0|0|0|0|0
Boston District Office| 125012|801-61776|WESTWOOD GLOBAL INVESTMENTS|WESTWOOD GLOBAL INVESTMENTS LLC|150 FEDERAL ST. SUITE 1105||BOSTON MA 02110|USA|||  ||MARGARET M REYNOLDS|617-848-3475|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 District 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 District Office| 125304|801-61867|PALMERDODGE ADVISORS LLC|PALMERDODGE ADVISORS LLC|111 HUNTINGTON AVENUE||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 District 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), Selection of other advisers|APPROVED|03/14/2003|0|0|0|0|0|0
Boston District Office| 125361|801-62000|CRESTWOOD ADVISORS LLC|CRESTWOOD ADVISORS LLC|8 FANEUIL HALL MARKETPLACE|SUITE 300|BOSTON MA 02109|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 District Office| 125416|801-61984|ENSIGN INVESTMENT ADVISERS LLC|ENSIGN INVESTMENT ADVISERS LLC|50 CONGRESS ST. #222||BOSTON MA 02109|USA|||  ||WILLIAM M. JOSE|617-367-4885|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 District 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 District 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 District Office| 125515|801-62052|LTSAVE, INC.|LTSAVE, INC.|374 CONGRESS STREET|SUITE 606|BOSTON MA 02210|USA|||  ||SUNIL K. BHATIA|617-357-4600|Corporation|Portfolio management for individuals and/or small businesses, Other|APPROVED|05/16/2003|0|0|0|0|0|0
Boston District 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 District Office| 125669|801-63090|MAST CAPITAL MANAGEMENT LLC|MAST CAPITAL MANAGEMENT, LLC|535 BOYLSTON STREET|SUITE 1101|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 District 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 District Office| 125762|801-65867|LIBERTY SQUARE ASSET MANAGEMENT, LP|LIBERTY SQUARE ASSET MANAGEMENT, LP|24TH FEDERAL STREET|8TH FLOOR|BOSTON MA 02110|USA|||  ||MARTA B. VAN DAM|6177477700|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/30/2006|0|3|0|0|0|0
Boston District Office| 125771|801-61877|PRIVATE CAPITAL ADVISORS, INC.|PRIVATE CAPITAL ADVISORS, INC.|18 WEST AVENUE||DARIEN CT 06820|USA|||  ||VINCENT ANDREWS|(203) 656-3078|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
Boston District Office| 125791|801-61958|HOOKER & HOLCOMBE INVESTMENT ADVISORS, INC.|HOOKER & HOLCOMBE INVESTMENT ADVISORS, INC.|65 LASALLE ROAD||WEST HARTFORD CT 06107|USA|||  ||TIMOTHY C. BURNS|860-521-8400|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|04/04/2003|0|0|0|0|0|0
Boston District Office| 125853|801-61935|SPM JR., L.L.C.|SPM JR., L.L.C.|CLEARWATER HOUSE, 2187 ATLANTIC STREET|8TH 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 District Office| 125868|801-64123|HERITAGE HOUSE ASSET MANAGEMENT|AQUILINO  MICHAEL DOMENIC|185 DEVONSHIRE STREET|SUITE 1100|BOSTON MA 02110|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 District 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 businesses or institutional clients (other than investment companies)|APPROVED|02/09/2004|0|1|0|0|0|0
Boston District 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 District Office| 126138|801-65327|MERCURY REAL ESTATE ADVISORS LLC|MERCURY REAL ESTATE ADVISORS LLC|100 FIELD POINT ROAD||GREENWICH CT 06830|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 District Office| 126140|801-64738|ROBERT J. REBY & COMPANY INC.|ROBERT J. REBY & COMPANY INC.|83 WOOSTER HEIGHTS||DANBURY CT 06810|USA|||  ||ROBERT J. REBY|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 District 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)|APPROVED|04/11/2003|0|0|0|0|0|0
Boston District Office| 126277|801-65447|AMAJAC CAPITAL MANAGEMENT LLC|AMAJAC CAPITAL MANAGEMENT LLC|2 HIGH RIDGE PARK|SUITE 309|STAMFORD CT 06905|USA|||  ||JEFFREY WALLACE PRIEST|203-329-8002|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
Boston District Office| 126285|801-63475|ZEBRA CAPITAL MANAGEMENT, L.L.C.|ZEBRA CAPITAL MANAGEMENT, L.L.C.|612 WHEELERS FARMS RD||MILFORD CT 06460|USA|||  ||EMMETT J. HARTY|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 District Office| 126286|801-63476|ZEBRA ADVISORS, L.L.C.|ZEBRA ADVISORS, L.L.C.|612 WHEELERS FARMS RD||MILFORD CT 06460|USA|||  ||EMMETT J. HARTY|203-878-3223|Limited Liability Company|Other|APPROVED|08/27/2004|0|0|0|0|0|0
Boston District 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 District 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 District Office| 126612|801-63764|ALPHA EQUITY MANAGEMENT LLC|ALPHA EQUITY MANAGEMENT LLC|19A ENSIGN DRIVE||AVON CT 06001|USA|||  ||KEVIN M. MEANS|860-773-6512|Limited Liability Company|Other|APPROVED|12/14/2004|0|0|0|0|0|0
Boston District Office| 126665|801-62078|PRIVATE CAPITAL GROUP, LLC|PRIVATE CAPITAL GROUP, LLC|29 SOUTH MAIN STREET||WEST HARTFORD CT 06107|USA|||  ||WENDY KELLY|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 District Office| 126735|801-63937|BENEMARK, INC|BENEMARK, INC|75 KINGS HIGHWAY CUTOFF|3RD FLOOR|FAIRFIELD CT 06824|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 District 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 District Office| 126765|801-62213|PUNTER SOUTHALL & CO LLC|PUNTER SOUTHALL & CO LLC|161 WORCESTER ROAD||FRAMINGHAM MA 01701|USA|||  ||MIKE SENOSKI|508.620.7110|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|07/18/2003|0|0|0|0|0|0
Boston District 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 District Office| 126844|801-63230|VANTAGE ADVISORS, LLC|VANTAGE ADVISORS, LLC|470 ATLANTIC AVE., 4TH FLOOR||BOSTON MA 02210|USA|||  ||THOMAS ASHTON|617-273-8401|Limited Liability Company|Other|APPROVED|06/17/2004|0|1|0|0|0|0
Boston District Office| 126869|801-65115|KRAEMATON INVESTMENT ADVISORS, INC|KRAEMATON INVESTMENT ADVISORS, INC|20 WALNUT ST||WELLESLEY MA 02481|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 District Office| 126895|801-65374|SANDCASTLE CAPITAL MANAGEMENT LLC|SANDCASTLE CAPITAL MANAGEMENT LLC|32 SYLVAN ROAD NORTH||WESTPORT CT 06880|USA|||  ||DANIEL RAPPAPORT|(203) 858-9089|Limited Liability Company|Other|APPROVED|01/23/2006|0|0|0|0|0|0
Boston District 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 businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/24/2005|0|0|0|0|0|0
Boston District Office| 127064|801-62203|GLOBAL FOREST PARTNERS LP|GLOBAL FOREST PARTNERS LP|24 AIRPORT ROAD,|TRADE CENTER, 4TH FLOOR|WEST LEBANON NH 03784|USA|||  ||PETER C. MERTZ|603-298-4920|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 District 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 District 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 District 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 District 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 District Office| 127268|801-64494|HERITAGE FINANCIAL SERVICES, INC.|HERITAGE FINANCIAL SERVICES, INC.|477 WASHINGTON STREET|STE #15|NORWOOD MA 02062|USA|||  ||JAMES P. SCALLY|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 District 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 District Office| 127304|801-62286|GRT CAPITAL PARTNERS, LLC|GRT CAPITAL PARTNERS, LLC|50 MILK STREET|21ST FLOOR|BOSTON MA 02109|USA|||  ||TIMOTHY A. KROCHUK|617-226-1780|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/20/2003|0|0|0|0|0|0
Boston District 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 District 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 District 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 District 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|APPROVED|10/23/2003|0|10|0|0|0|0
Boston District Office| 127515|801-62214|SOLON MACK CAPITAL LLC|SOLON MACK CAPITAL LLC|411 WEST PUTNAM AVENUE|SUITE 450|GREENWICH CT 06830|USA|||  ||CATHERINE IP|(203) 863-5500|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|07/16/2003|0|0|0|0|0|0
Boston District 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|0|0|0|0|0
Boston District Office| 127565|801-62199|THE CORPORATE LIBRARY, LLC|THE CORPORATE LIBRARY LLC|45 EXCHANGE STREET||PORTLAND ME 04101|USA|||  ||KAREN C. LOWELL|207-874-6921|Limited Liability Company|Other|APPROVED|07/16/2003|0|0|0|0|0|0
Boston District Office| 127654|801-63389|MJP ASSOCIATES, INC.|MJP ASSOCIATES, INC.|790 FARMINGTON AVE., BLDG 3E||FARMINGTON CT 06032|USA|||  ||KRISTA HILBIE|860.677.7755|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|09/01/2004|0|1|0|0|0|0
Boston District Office| 127691|801-62263|COOPER CAPITAL, INC.|COOPER CAPITAL, INC.|223 HILLS POINT ROAD||WESTPORT CT 06880-6618|USA|||  ||KATHERINE M. 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 District Office| 127716|801-62257|WINDWARD SECURITIES CORPORATION|WINDWARD SECURITIES CORPORATION|ONE GRANITE PLACE||CONCORD NH 03301|USA|||  ||MICHAEL W. BOURGAULT|603-226-5983|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|08/21/2003|0|6|1|0|0|0
Boston District Office| 127722|801-63059|DOVER CORPORATE RESPONSIBILITY MANAGEMENT LLC|DOVER CORPORATE RESPONSIBILITY MANAGEMENT LLC|140 GREENWICH AVENUE||GREENWICH CT 06830|USA|||  ||MICHAEL P. CASTINE|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)|APPROVED|03/16/2005|0|0|0|0|0|0
Boston District Office| 127888|801-62278|TECHNOLOGY INVESTMENT MANAGEMENT, LLC|TECHNOLOGY INVESTMENT 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 District Office| 128216|801-62306|LTG CAPITAL LLC|LTG CAPITAL LLC|275 GROVE STREET|SUITE 2-400|NEWTON MA 02466|USA|||  ||ARIEL ACUNA|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 District 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 businesses or institutional clients (other than investment companies)|APPROVED|01/07/2004|0|0|0|0|0|0
Boston District Office| 128244|801-62349|SHEPHERD KAPLAN LLC|SHEPHERD KAPLAN LLC|125 SUMMER STREET|22ND FLOOR|BOSTON MA 02110|USA|||  ||DAVID C. KAPLAN|617-369-0944|Limited Liability Company|Financial 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|10/20/2003|0|0|0|0|0|0
Boston District 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 District 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 District Office| 128298|801-63497|SMITH RAPACZ, LLC|SMITH RAPACZ, LLC|8 FANEUIL HALL MARKET PLACE|3RD FLOOR|BOSTON MA 02109|USA|||  ||TANYA ELIZABETH RAPACZ|617-973-5180|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/23/2004|0|0|0|0|0|0
Boston District Office| 128348|801-63051|COBBLE CREEK MANAGEMENT LP|COBBLE CREEK MANAGEMENT LP|55 RAILROAD AVENUE||GREENWICH CT 06830|USA|||  ||MICHAEL WEISS|(203) 629-4250|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/16/2004|0|0|0|0|0|0
Boston District 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|APPROVED|10/23/2003|0|0|0|0|0|0
Boston District Office| 128401|801-62462|HIGHBRACE CAPITAL, LLC|HIGHBRACE CAPITAL, LLC|104 FIELD POINT ROAD||GREENWICH CT 06830|USA|||  ||THOMAS A. ORTWEIN|203.422.2306|Limited Liability Company|Selection of other advisers, Other|APPROVED|11/04/2003|0|2|0|0|0|0
Boston District Office| 128484|801-62487|ARAWAK CAPITAL FINANCIAL ADVISORS, LLC|ARAWAK CAPITAL FINANCIAL ADVISORS,LLC|59 OLD POST ROAD||SOUTHPORT CT 06890|USA|||  ||JORGE GARCIA-GARCIA|(203) 255-9992|Limited Liability Company|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
Boston District Office| 128503|801-65464|3V CAPITAL MANAGEMENT LLC|3V CAPITAL MANAGEMENT LLC|1 GREENWICH OFFICE PARK NORTH||GREENWICH CT 06831|USA|||  ||SHARON M. DAVISON|203-629-9565|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/24/2006|0|0|0|0|0|0
Boston District 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 District 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 District Office| 128691|801-63045|THE FINANCIAL ADVISORS|RICHARD L SUMBERG|15 RAILROAD STREET||ANDOVER MA 01810|USA|||  ||RICHARD SUMBERG|978-475-3242|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|05/24/2004|0|0|0|0|0|0
Boston District 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 District 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 District 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 District 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 District 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 District 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 District Office| 129249|801-62475|YHB RETIREMENT SERVICES, LLC|YHB RETIREMENT SERVICES, LLC|29 SOUTH MAIN STREET|SUITE 306, WEST|WEST HARTFORD CT 06107|USA|||  ||RANDY BLISS|860-561-7050|Limited Liability Company|Pension consulting services|APPROVED|10/30/2003|0|2|0|0|0|0
Boston District 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 District Office| 129472|801-62776|COMMUNITY FINANCIAL GROUP, INC.|COMMUNITY FINANCIAL GROUP, INC.|18 POPE STREET||HUDSON MA 01749|USA|||  ||DICK WILSON|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 District 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 District Office| 129591|801-62605|SOUND ENERGY CAPITAL MANAGEMENT,L.P.|SOUND ENERGY CAPITAL MANAGEMENT, L.P.|354 PEQUOT AVENUE||SOUTHPORT CT 06490|USA|||  ||ANTHONY J. GIAMMALVA|203-254-4500|Partnership|Other|APPROVED|01/02/2004|0|0|0|0|0|0
Boston District 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 District 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, Other|APPROVED|07/29/2005|0|0|0|0|0|0
Boston District Office| 129848|801-62683|PROVIDENCE INVESTMENT MANAGEMENT, LLC|PROVIDENCE INVESTMENT MANAGEMENT, LLC|ONE TURKS HEAD PLACE, SUITE 1400|76 WESTMINSTER STREET|PROVIDENCE RI 02903-2212|USA|||  ||RUTH ANN KRAEMER|401-456-1530 X110|Limited Liability Company|Other|APPROVED|01/23/2004|0|0|0|0|0|0
Boston District Office| 129980|801-62627|EVALUATION ASSOCIATES LLC|EVALUATION ASSOCIATES LLC|200 CONNECTICUT AVENUE||NORWALK CT 06854|USA|||  ||STEVE 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 District 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 District Office| 130209|801-62783|MAPLE CAPITAL MANAGEMENT, INC.|MAPLE CAPITAL MANAGEMENT, INC.|535 STONE CUTTERS WAY||MONTPELIER VT 05602|USA|||  ||RAMSEY A. AHMED|(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)|APPROVED|02/20/2004|0|0|0|0|0|0
Boston District Office| 130256|801-63210|A&J TAX AND FINANCIAL SERVICES|JERALD SIEGEL|2348 WHITNEY AVE|SUITE 4|HAMDEN CT 06518|USA|||  ||JERRY SIEGEL|203-248-6142|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/04/2004|0|0|0|0|0|0
Boston District Office| 130257|801-62832|AUGUSTA ADVISORS, LLC|AUGUSTA ADVISORS, LLC|9 GREENWICH OFFICE PARK||GREENWICH CT 06831|USA|||  ||ANNA HOLMDIN|203-661-3500|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/23/2004|0|0|0|0|0|0
Boston District Office| 130282|801-62860|CENTURY CAPITAL MANAGEMENT, LLC|CENTURY CAPITAL MANAGEMENT, LLC|100 FEDERAL STREET, 29TH FLOOR||BOSTON MA 02110|USA|||  ||SANDRA HAZEL|617-482-3060 X5136|Limited Liability Company|Portfolio 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 District Office| 130289|801-64767|PENWOOD REAL ESTATE INVESTMENT MANAGEMENT, LLC|PENWOOD REAL ESTATE INVESTMENT MANAGEMENT, LLC|ONE FINANCIAL PLAZA,10TH FLOOR||HARTFORD CT 06103|USA|||  ||JOHN M. HURLEY|860-293-6107|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 District Office| 130321|801-63641|BAYSTATE 401(K) ADVISORS|BAYSTATE 401(K) ADVISORS AND INSURANCE CORPORATION|7 SAN CLEMENTE CIRCLE||MILFORD MA 01757|USA|||  ||GREGG ANDONIAN|866-411-4015|Corporation|Pension consulting services|APPROVED|11/17/2004|0|0|0|0|0|0
Boston District Office| 130329|801-64385|ROBERT, FINNEGAN & LYNAH, PC|ROBERT, FINNEGAN & LYNAH, PC|137 SOUTH STREET|SUITE 6|BOSTON MA 02111|USA|||  ||MICHAEL TAYLOR|617-426-4900|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|06/14/2005|0|0|0|0|0|0
Boston District Office| 130334|801-62804|APOGEE GLOBAL ADVISERS. INC|APOGEE GLOBAL ADVISERS, INC|90 STRAWBERRY HILL STREET||DOVER MA 02030|USA|||  ||WALTER CABOT JR|1 508 785 0608|Corporation|Portfolio management for investment companies|APPROVED|02/13/2004|0|0|0|0|0|0
Boston District 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 District Office| 130529|801-62850|CUTTER POINT MANAGEMENT, LLC|CUTTER POINT MANAGEMENT, LLC|4 GREENWICH OFFICE PARK|3RD FLOOR|GREENWICH CT 06831|USA|||  ||MARK HOSSEIN|203-862-3314|Limited Liability Company|Other|APPROVED|03/04/2004|0|0|0|0|0|0
Boston District Office| 130549|801-62806|SPM III, L.L.C.|SPM III, L.L.C.|CLEARWATER HOUSE|2187 ATLANTIC STREET, 8TH 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 District Office| 130553|801-63036|MANAGED RISK ADVISORS, LLC|MANAGED RISK ADVISORS, LLC|16 BRIDGE SQUARE||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), Other|APPROVED|04/16/2004|0|0|0|0|0|0
Boston District Office| 130585|801-62991|MRM-HORIZON ADVISORS, LLC|MRM-HORIZON ADVISORS, LLC|40 BROAD STREET, SUITE 810||BOSTON MA 02109|USA|||  ||RICHARD W. SILVER|617-728-0444|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 District 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 District Office| 130614|801-62868|VERITAS FINANCIAL ADVISORS LLC|VERITAS FINANCIAL ADVISORS LLC|84 STATE STREET - 7TH FLOOR||BOSTON MA 02109|USA|||  ||PATRICK J. COX|617-723-5533|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|03/04/2004|0|1|0|0|0|0
Boston District Office| 130714|801-64087|HEIRLOOM CAPITAL MANAGEMENT, L.P.|HEIRLOOM CAPITAL MANAGEMENT, L.P.|411 W. PUTNAM AVENUE|SUITE 305|GREENWICH CT 06830|USA|||  ||STEVEN L. SUSS|203-622-5700|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/11/2005|0|0|0|0|0|0
Boston District Office| 130812|801-62951|ADVISORS CAPITAL RESOURCE INC.|ADVISORS CAPITAL RESOURCE INC.|36 SALMON STREET||MANCHESTER NH 03104|USA|||  ||JACQUELINE L. KILLGORE|603-627-7000|Corporation|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
Boston District Office| 130813|801-63128|CARRINGTON CAPITAL MANAGEMENT, LLC|CARRINGTON CAPITAL MANAGEMENT, LLC|9 GREENWICH OFFICE PARK||GREENWICH CT 06831|USA|||  ||DARREN FULCO|203-661-6186|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/20/2004|0|0|0|0|0|0
Boston District 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 District 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 District Office| 131034|801-62960|ALTERNATIVE INVESTMENT SOLUTIONS|UBS ALTERNATIVE AND QUANTITATIVE INVESTMENTS LLC|677 WASHINGTON BOULEVARD||STAMFORD CT 06901|USA|||  ||JEFFREY B. PICKERING|312-525-5951|Limited Liability Company|Other|APPROVED|04/09/2004|0|3|0|0|0|0
Boston District 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 District Office| 131200|801-64582|APIS CAPITAL ADVISORS, LLC|APIS CAPITAL ADVISORS, LLC|1445 EAST PUTNAM AVENUE||OLD GREENWICH CT 06870|USA|||  ||DANIEL J. BARKER|203-364-8675|Limited Liability Company|Other|APPROVED|07/27/2005|0|0|0|0|0|0
Boston District 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 businesses or institutional clients (other than investment companies)|APPROVED|08/11/2004|0|0|0|0|0|0
Boston District Office| 131216|801-64098|KALEEL INVESTMENT ADVISORS, LLC|KALEEL INVESTMENT ADVISORS, LLC|77 FRANKLIN STREET|SUITE 509|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 District Office| 131251|801-63214|SAVINGS INSTITUTE BANK & TRUST COMPANY|SAVINGS INSTITUTE BANK & TRUST COMPANY|803 MAIN STREET||WILLIMANTIC CT 06226|USA|7 LEDGEBROOK DRIVE|PO BOX 717|MANSFIELD CENTER CT 06250|USA|SONIA M. DUDAS|860-450-7800|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, Other|APPROVED|06/17/2004|0|0|0|0|0|0
Boston District 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 District Office| 131323|801-64605|WIND RIVER|WIND RIVER CAPITAL MANAGEMENT, INC|5 SCHOOL STREET|SUITE 3|ELLSWORTH ME 04605|USA|||  ||WILLIAM S. CLARK|207-667-4928|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/12/2005|0|0|0|0|0|0
Boston District 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 District Office| 131443|801-63161|FAIRVIEW CONSTITUTION MANAGEMENT LLC|FAIRVIEW CONSTITUTION MANAGEMENT LLC|10 STANFORD DRIVE||FARMINGTON CT 06032|USA|||  ||JOANNE E. ARCHER|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 District Office| 131464|801-63203|ARA PORTFOLIO MANAGEMENT COMPANY, L.L.C.|ARA PORTFOLIO MANAGEMENT COMPANY, L.L.C.|195 CHURCH STREET|9TH FLOOR|NEW HAVEN CT 06510-2009|USA|||  ||JAMES CONANT|203-497-8700|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/01/2004|0|0|0|0|0|0
Boston District 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 District Office| 131684|801-63276|NUMERIC INVESTORS LLC|NUMERIC INVESTORS LLC|ONE MEMORIAL DRIVE||CAMBRIDGE MA 02142|USA|||  ||RAYMOND JOUMAS|617-577-1166|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/16/2004|0|0|0|0|0|0
Boston District Office| 131711|801-63425|GRAMERCY INVESTMENT ADVISORS LLC|GRAMERCY INVESTMENT ADVISORS LLC|20 DAYTON AVENUE||GREENWICH CT 06830|USA|||  ||SCOTT SEAMAN|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 District Office| 131716|801-63258|FRONTPOINT UNIVERSAL GP, LLC|FRONTPOINT UNIVERSAL GP, LLC|TWO GREENWICH PLAZA|FOURTH FLOOR|GREENWICH CT 06830|USA|||  ||ARTHUR J. LEV|203-622-5235|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 District Office| 131887|801-64020|ADVISOR'S CAPITAL RESEARCH, INC.|ADVISOR'S CAPITAL RESEARCH, INC.|17 TRIPP ROAD||WOODSTOCK CT 06281|USA|||  ||ROBERT K. MANN|800-397-0722|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 District 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 District Office| 131928|801-63530|GLEACHER ADVISORS LLC|GLEACHER ADVISORS LLC|1 FAWCETT PLACE||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 District Office| 131971|801-64187|AIRLIE OPPORTUNITY CAPITAL MANAGEMENT LP|AIRLIE OPPORTUNITY CAPITAL MANAGEMENT LP|115 EAST PUTNAM AVENUE|3RD FLOOR|GREENWICH CT 06830|USA|||  ||BRENDAN J DRISCOLL|203-661-6200|Partnership|Other|APPROVED|04/15/2005|0|0|0|0|0|0
Boston District 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 District Office| 132057|801-63284|EACM ADVISORS LLC|EACM ADVISORS LLC|200 CONNECTICUT AVENUE||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 District Office| 132076|801-63279|MCF-ALADDIN CAPITAL MANAGEMENT LLC|MCF-ALADDIN CAPITAL MANAGEMENT LLC|THREE LANDMARK SQUARE|THIRD FLOOR|STAMFORD CT 06901|USA|||  ||KIERAN C. LYONS|203 487 6746|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/24/2004|0|0|0|0|0|0
Boston District Office| 132077|801-63266|ARA UNIVERSAL LLC|ARA UNIVERSAL LLC|195 CHURCH STREET, 9TH FLOOR||NEW HAVEN CT 06510-2009|USA|||  ||JAMES E. CONANT|203-497-8700|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/22/2004|0|0|0|0|0|0
Boston District Office| 132311|801-64130|BASSO CAPITAL MANAGEMENT, L.P.|BASSO CAPITAL MANAGEMENT, L.P.|1266 EAST MAIN STREET|4TH FLOOR|STAMFORD CT 06902|USA|||  ||DANIEL E. KARP|203-352-6156|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/12/2005|0|0|0|0|0|0
Boston District Office| 132323|801-64057|REYNOLDS CAPITAL LLC|REYNOLDS CAPITAL LLC|107 ELM STREET, SUITE 401||STAMFORD CT 06902|USA|||  ||STEVEN H REYNOLDS|203-252-5712|Limited Liability Company|Other|APPROVED-120|04/08/2005|0|0|0|0|0|0
Boston District Office| 132365|801-63478|GEODE CAPITAL MANAGEMENT LP|GEODE CAPITAL MANAGEMENT LP|53 STATE STREET|5TH 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 District Office| 132436|801-63488|ABSOLUTE INVESTMENT ADVISERS LLC|ABSOLUTE INVESTMENT ADVISERS LLC|94 STATION STREET, SUITE 202||HINGHAM MA 02043|USA|||  ||ANTHONY BOSCH|781-740-1904|Limited Liability Company|Portfolio management for investment companies|APPROVED|09/02/2004|0|0|0|0|0|0
Boston District 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 District Office| 132481|801-64660|O'ROURKE & COMPANY, INCORPORATED|BRIAN CHRISTOPHER O'ROURKE|ONE LIBERTY SQUARE|9TH FLOOR|BOSTON MA 02109|USA|||  ||MARY F. MALLETT|6174824200|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|08/26/2005|0|0|0|0|0|0
Boston District 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 District Office| 132547|801-66294|TUCKERBROOK ALTERNATIVE INVESTMENTS, L.P.|TUCKERBROOK ALTERNATIVE INVESTMENTS, L.P.|2 OLIVER ST|SUITE 617|BOSTON MA 02109|USA|||  ||BRIAN MALONE|617 946 5800|Other (specify)|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 District Office| 132548|801-63559|DIRECTADVICE, INCORPORATED|DIRECTADVICE, INCORPORATED|111 FOUNDERS PLAZA|SUITE 1502|EAST HARTFORD CT 06108-8300|USA|||  ||NASSIF MALOUF|925.328.4439|Corporation|Financial planning services|APPROVED|10/08/2004|0|0|0|0|0|0
Boston District Office| 132616|801-63465|FAIRVIEW CAPITAL EM PARTNERS, L.L.C.|FAIRVIEW CAPITAL EM PARTNERS, L.L.C.|10 STANFORD DRIVE||FARMINGTON CT 06032|USA|||  ||JOANNE E. ARCHER|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 District Office| 132633|801-65856|SEVERN RIVER CAPITAL MANAGEMENT, LLC|SEVERN RIVER CAPITAL MANAGEMENT, LLC|EIGHT GREENWICH OFFICE PARK||GREENWICH CT 06831|USA|||  ||ERIC WOOD|203-971-3600|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2006|0|0|0|0|0|0
Boston District Office| 132770|801-63636|WR CAPITAL MANAGEMENT L.P.|WR CAPITAL MANAGEMENT L.P.|40 SIGNAL ROAD||STAMFORD CT 06902|USA|||  ||JAMES M. BURKE|(203) 504-5090|Other (specify)|Selection of other advisers|APPROVED|11/05/2004|0|0|0|0|0|0
Boston District Office| 132781|801-63850|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|508.248.1677|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|01/21/2005|0|0|0|0|0|0
Boston District Office| 132797|801-63724|THE PROGRAM WORKS, INC.|THE PROGRAM WORKS, INC.|160 SECOND STREET||CAMBRIDGE MA 02142|USA|||  ||CHITRA STALEY|617 492 4829|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
Boston District 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 District Office| 132853|801-63791|MATRIX GROUP OF FUNDS, LLC|MATRIX GROUP OF FUNDS, LLC|7190 MAIN STREET|PO 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 District Office| 132957|801-64865|AETNA CAPITAL MANAGEMENT, LLC|AETNA CAPITAL MANAGEMENT, LLC|29 SOUTH MAIN STREET||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)|APPROVED|11/10/2005|0|0|0|0|0|0
Boston District 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 District Office| 133026|801-63565|HARVEST CAPITAL PARTNERS LLC|HARVEST CAPITAL PARTNERS LLC|175 FEDERAL STREET, SUITE 508||BOSTON MA 02110|USA|||  ||MARY LOU BOUTWELL|617-342-8172|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 District 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 District Office| 133103|801-11109|ADAMS HARKNESS ASSET MANAGEMENT, INC.|ADAMS HARKNESS ASSET MANAGEMENT, INC.|99 HIGH ST.|12TH FLOOR|BOSTON MA 02110|USA|||  ||J. ERIC ANDERSON|617-371-3900|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/24/1975|0|2|0|0|0|0
Boston District Office| 133130|801-63610|AUSPEX GROUP, L.P.|AUSPEX GROUP, L.P.|33 RIVER ROAD||COS COB CT 06807|USA|||  ||AILEEN WIATE|203-863-6105|Partnership|Other|APPROVED|10/28/2004|0|0|0|0|0|0
Boston District Office| 133164|801-66132|PASCAL WEALTH ADVISORS, LLC|PASCAL WEALTH ADVISORS, LLC|793 TURNPIKE STREET||NORTH ANDOVER MA 01845|USA|||  ||DAVID S. COLTON|978-557-5361|Limited Liability Company|Financial planning services, 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
Boston District Office| 133196|801-63658|PYRAMIS GLOBAL ADVISORS, LLC|PYRAMIS GLOBAL ADVISORS, LLC|53 STATE STREET||BOSTON MA 02109|USA|82 DEVONSHIRE STREET|E14B|BOSTON MA 02109|USA|NICHOLAS VITALE|617-563-7883|Limited Liability Company|Portfolio management for investment companies, Other|APPROVED|12/02/2004|0|2|0|0|0|0
Boston District Office| 133333|801-63733|CALIBRE ADVISORY SERVICES, INC.|CALIBRE ADVISORY SERVICES, INC.|800 SOUTH STREET|SUITE 195|WALTHAM MA 02453|USA|||  ||RICHARD DINSMORE|781-893-8040|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|12/16/2004|0|0|1|0|0|0
Boston District 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 District Office| 133360|801-63832|TAXBRIDGE FINANCIAL GROUP INC|TAXBRIDGE FINANCIAL GROUP INC|678 MASS. AVE||CAMBRIDGE MA 02139|USA|||  ||ROBERT MURRAY|617-441-7800X216|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/14/2005|0|0|0|0|0|0
Boston District Office| 133401|801-63754|NIBC CREDIT MANAGEMENT, INC.|NIBC CREDIT MANAGEMENT, INC.|ONE SOUND SHORE DRIVE|SUITE #203|GREENWICH CT 06830-7251|USA|||  ||CAROLYN MULRY|203-629-9100|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/17/2004|0|0|0|0|0|0
Boston District 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|APPROVED|01/03/2005|0|0|0|0|0|0
Boston District Office| 133449|801-63730|MERCER GLOBAL INVESTMENTS, INC.|MERCER GLOBAL INVESTMENTS, INC.|INVESTORS WAY||NORWOOD MA 02062|USA|||  ||DAVID M. GOLDENBERG|212-345-6531|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|2|0|0|0
Boston District Office| 133452|801-64243|NEW ENGLAND ASSET MANAGEMENT, LLC|NEW ENGLAND 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 District Office| 133536|801-63864|GENERAL ATLANTIC SERVICE CORPORATION|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 District Office| 133554|801-63720|FONTANA CAPITAL, L.L.C.|FONTANA CAPITAL, L.L.C.|99 SUMMER STREET, SUITE 1520||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 District Office| 133572|801-65510|OCEAN GATE CAPITAL MANAGEMENT, LP|OCEAN GATE CAPITAL MANAGEMENT, LP|156 WASHINGTON STREET|SUITE 3|MARBLEHEAD MA 01945|USA|||  ||MICHAEL BUTTERFIELD|(781) 639-4774|Partnership|Other|APPROVED|01/23/2006|0|0|0|0|0|0
Boston District Office| 133597|801-63760|STARWOOD REAL ESTATE SECURITIES, LLC|STARWOOD REAL ESTATE SECURITIES, LLC|591 WEST PUTNAM AVE||GREENWICH CT 06830|USA|||  ||MATTHEW GILMAN|203-422-7735|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/03/2005|0|0|0|0|0|0
Boston District Office| 133625|801-63786|ARA BEHAVIORAL LLC|ARA BEHAVIORAL LLC|195 CHURCH ST., 9TH FLOOR||NEW HAVEN CT 06510|USA|||  ||JAMES E. CONANT|203-497-8700|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/03/2005|0|0|0|0|0|0
Boston District 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 District Office| 133746|801-63929|PIRATE CAPITAL LLC|PIRATE CAPITAL LLC|200 CONNECTICUT AVENUE|4TH FLOOR|NORWALK CT 06854|USA|||  ||CHRISTOPHER KELLY|203 854-1132|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/18/2005|0|0|0|0|0|0
Boston District Office| 133790|801-63830|NEW ENGLAND PRIVATE WEALTH ADVISORS, LLC|NEW ENGLAND PRIVATE WEALTH ADVISORS, LLC|170 WORCESTER STREET SUITE 200||WELLESLEY MA 02481-5508|USA|||  ||KARLA PAXTON|781-416-1702|Limited Liability Company|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
Boston District Office| 133792|801-63861|PERMAL CAPITAL MANAGEMENT, LLC|PERMAL CAPITAL MANAGEMENT, LLC|111 HUNTINGTON AVENUE SUITE 2850||BOSTON MA 02199|USA|||  ||BENJAMIN MARINO|617-399-9241|Limited Liability Company|Other|APPROVED|02/04/2005|0|0|0|0|0|0
Boston District Office| 133807|801-65742|OXHEAD CAPITAL MANAGEMENT, LLC|OXHEAD CAPITAL MANAGEMENT, LLC|855 BOYLSTON STREET, 11TH FLOOR||BOSTON MA 02116|USA|||  ||DANIEL T. PHIPPS|617-412-4508|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
Boston District 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 District 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 District Office| 133985|801-63847|LIM ADVISORS LLC|LIM ADVISORS LLC|680 WASHINGTON BOULEVARD|10TH FLOOR|STAMFORD CT 06901|USA|||  ||DAVID KAPLAN|203-325-2224|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/19/2005|0|0|0|0|0|0
Boston District 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 District 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, Selection of other advisers|APPROVED|02/18/2005|0|0|0|0|0|0
Boston District Office| 134017|801-63899|STONEBRIDGE ADVISORS LLC|STONEBRIDGE ADVISORS LLC|187 DANBURY ROAD||WILTON CT 06897|USA|||  ||MITCHELL E. MOHR|630.241.8612|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/18/2005|0|3|0|0|0|0
Boston District Office| 134045|801-63954|EAGLECLAW CAPITAL MANAGEMENT LLC|EAGLECLAW CAPITAL MANAGEMENT LLC|111 DEVONSHIRE ST||BOSTON MA 02109|USA|||  ||DAVID DONAHUE JR.|617-426-5000|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|03/03/2005|0|0|0|0|0|0
Boston District 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)|APPROVED|01/27/2006|0|0|0|0|0|0
Boston District Office| 134176|801-63900|COPPER ROCK CAPITAL PARTNERS LLC|COPPER ROCK CAPITAL PARTNERS LLC|200 CLARENDON STREET|53RD FLOOR|BOSTON MA 02116|USA|||  ||MICHAEL MALOUF|617-369-7102|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/10/2005|0|0|0|0|0|0
Boston District Office| 134289|801-63978|FAIRVIEW CONSTITUTION MANAGEMENT II LLC|FAIRVIEW CONSTITUTION MANAGEMENT II LLC|10 STANFORD DRIVE||FARMINGTON CT 06032-2451|USA|||  ||JOANNE E. ARCHER|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 District Office| 134384|801-63982|SONAR CAPITAL MANAGEMENT, LLC|SONAR CAPITAL MANAGEMENT, LLC|75 PARK PLAZA|2ND FLOOR|BOSTON MA 02116|USA|||  ||ROBERT J JOHNSON|617-956-3860|Limited Liability Company|Other|APPROVED|04/01/2005|0|0|0|0|0|0
Boston District Office| 134415|801-64019|COGENT ASSET MANAGEMENT, LLC.|COGENT ASSET MANAGEMENT, LLC|1901 B POST ROAD||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 District Office| 134439|801-64079|PHALANX CAPITAL MANAGEMENT, LLC|PHALANX CAPITAL MANAGEMENT, LLC|300 MAIN STREET, #706||STAMFORD CT 06901|USA|||  ||CHRISTOPHER MCGUIRE|203-504-3100|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|04/04/2005|0|0|0|0|0|0
Boston District Office| 134668|801-64111|PLAINFIELD ASSET MANAGEMENT LLC|PLAINFIELD ASSET MANAGEMENT LLC|55 RAILROAD AVENUE||GREENWICH CT 06830|USA|||  ||TERRI LECAMP|2033021702|Limited Liability Company|Other|APPROVED|04/25/2005|0|0|0|0|0|0
Boston District 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|APPROVED|01/27/2006|0|0|0|0|0|0
Boston District 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|APPROVED|07/25/2005|0|0|0|0|0|0
Boston District 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 District 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 District 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|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/03/2005|0|0|0|0|0|0
Boston District 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 District 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 District 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 District 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 District 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 District 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 District 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 District 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 District 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 District 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 District 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 District Office| 135345|801-64248|ADAGE CAPITAL MANAGEMENT, L.P.|ADAGE CAPITAL MANAGEMENT, L.P.|200 CLARENDON STREET|52ND FLOOR|BOSTON MA 02116|USA|||  ||DANIEL J. LEHAN III|617.867.2800|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/09/2005|0|0|0|0|0|0
Boston District 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 District 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 District 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 District 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 District 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|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED-120|06/10/2005|0|0|0|0|0|0
Boston District Office| 135552|801-64480|ACUMEN CAPITAL MANAGEMENT LLC|ACUMEN CAPITAL MANAGEMENT LLC|99 SUMMER ST.|STE. 105|BOSTON MA 02110|USA|||  ||SANDY 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 District Office| 135664|801-64531|WINSLOW MANAGEMENT COMPANY, LLC|WINSLOW MANAGEMENT COMPANY, LLC|99 HIGH STREET|12TH FLOOR|BOSTON MA 02110|USA|||  ||ELIZABETH CLUETT THORS|617-371-3838|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), Other|APPROVED|07/15/2005|0|0|0|0|0|0
Boston District Office| 135668|801-64339|ROUNDSTONE ADVISORS, LLC|ROUNDSTONE ADVISORS, LLC|319 LITTLETON ROAD|SUITE 201|WESTFORD MA 01886|USA|||  ||BASIL|978-392-6800|Limited Liability Company|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|06/29/2005|0|0|0|0|0|0
Boston District 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|Other|APPROVED|07/07/2005|0|0|0|0|0|0
Boston District 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 District Office| 135758|801-65553|NORODIN INVESTMENT MANAGEMENT LP|NORODIN INVESTMENT MANAGEMENT LP|165 MASON STREET|2ND FLOOR|GREENWICH CT 06830|USA|||  ||ROBERTO VIDAL|203-413-2000|Partnership|Other|APPROVED|01/25/2006|0|0|0|0|0|0
Boston District Office| 135810|801-65436|JEFFERIES ASSET MANAGEMENT, LLC|JEFFERIES ASSET MANAGEMENT, LLC|THE METRO CENTER|ONE STATION PLACE, THREE NORTH|STAMFORD CT 06902|USA|||  ||MARCIA A. MONTGOMERY|(203) 708-6507|Limited Liability Company|Other|APPROVED|01/20/2006|0|0|0|0|0|0
Boston District 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, Security ratings or pricing services|APPROVED|11/29/2005|0|0|0|0|0|0
Boston District Office| 135902|801-65046|MARSHALL WACE NORTH AMERICA L.P.|MARSHALL WACE NORTH AMERICA L.P.|55 RAILROAD AVENUE||GREENWICH CT 06830|USA|||  ||MICHAEL M. SARGENT|203-625-3200|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/03/2006|0|1|0|0|0|0
Boston District Office| 135912|801-64418|NEWSOURCE ADVISORY, LLC|NEWSOURCE ADVISORY, LLC|41 AVON 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 District Office| 135925|801-64435|BOLDWATER CAPITAL MANAGEMENT LP|BOLDWATER CAPITAL MANAGEMENT LP|100 SUMMER STREET|SUITE 1001|BOSTON MA 02110|USA|||  ||MARTIN E. KALISKER|617-897-2645|Partnership|Other|APPROVED|06/20/2005|0|0|0|0|0|0
Boston District 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-120|10/06/2005|0|0|0|0|0|0
Boston District Office| 135973|801-64448|SPM IV, L.L.C.|SPM IV, L.L.C.|2187 ATLANTIC STREET, 8TH 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 District Office| 135997|801-64415|AVIATOR FUND MANAGEMENT, L.P.|AVIATOR FUND MANAGEMENT, L.P.|55 RAILROAD AVENUE||GREENWICH CT 06830-6378|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 District Office| 136018|801-64461|MONSOON CAPITAL, LLC|MONSOON CAPITAL, LLC|ONE BROADWAY, 14TH FLOOR||CAMBRIDGE MA 02142|USA|||  ||GAUTAM PRAKASH|(617) 583-1395|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/07/2005|0|0|0|0|0|0
Boston District Office| 136040|801-65174|FIVE MILE CAPITAL PARTNERS|FIVE MILE CAPITAL PARTNERS LLC|3 STAMFORD PLAZA|301 TRESSER BLVD., 9TH FLOOR|STAMFORD CT 06901|USA|||  ||DAWN RINALDI|1-203-905-0950|Limited Liability Company|Other|APPROVED|01/18/2006|0|0|0|0|0|0
Boston District Office| 136081|801-64441|DWM INVESTMENT GROUP|DWM INVESTMENT GROUP|1254 BOSTON POST ROAD||OLD SAYBROOK CT 06475|USA|||  ||ELIZABETH D. EDEN|860-388-1088|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|07/22/2005|0|0|0|0|0|0
Boston District 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 District Office| 136205|801-64638|ARGUS CONSULTING LTD|ARGUS CONSULTING LTD|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 District Office| 136245|801-64518|LAPIDES ASSET MANAGEMENT, LLC|LAPIDES ASSET MANAGEMENT, LLC|81 HOLLY HILL LANE|SUITE 100|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 District Office| 136306|801-65100|SHAREINVEST RESEARCH LIMITED PARTNERSHIP|SHAREINVEST RESEARCH LIMITED PARTNERSHIP|411 WEST PUTMAN AVENUE||GREENWICH CT 06830|USA|||  ||STEVEN M FELSENTHAL|212-332-7333|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/31/2006|0|0|0|0|0|0
Boston District Office| 136326|801-65568|SAGAMORE HILL CAPITAL MANAGEMENT L.P.|SAGAMORE HILL CAPITAL MANAGEMENT L.P.|10 GLENVILLE STREET||GREENWICH CT 06831|USA|||  ||KARA LENNON|203-532-7500|Partnership|Other|APPROVED|01/26/2006|0|0|0|0|0|0
Boston District 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|Pension consulting services, Selection of other advisers|APPROVED-120|07/20/2005|0|0|0|0|0|0
Boston District 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 District Office| 136364|801-65697|FLAGG STREET CAPITAL LLC|FLAGG STREET CAPITAL LLC|44 BRATTLE ST||CAMBRIDGE MA 02138|USA|||  ||ANDREW MOSS|617 876 6085|Limited Liability Company|Other|APPROVED|01/27/2006|0|0|0|0|0|0
Boston District 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 District Office| 136396|801-64564|MAXAM CAPITAL MANAGEMENT LLC|MAXAM CAPITAL MANAGEMENT LLC|16 THORNDAL CIRCLE 1ST FLOOR||DARIEN CT 06820|USA|||  ||SPOTTSWOOD P. DUDLEY|203-851-3511|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|07/29/2005|0|0|0|0|0|0
Boston District Office| 136462|801-64559|AON RETIREMENT PLAN ADVISORS, LLC|AON RETIREMENT PLAN ADVISORS, LLC|ONE LANDMARK SQUARE, 21ST FLOOR||STAMFORD CT 06901|USA|200 EAST RANDOLPH STREET|5TH FLOOR|CHICAGO IL 60601||WILLIAM L. DELANEY|312-381-4514|Limited Liability Company|Pension consulting services|APPROVED|08/10/2005|0|1|3|0|0|0
Boston District 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)|APPROVED|08/26/2005|0|0|0|0|0|0
Boston District Office| 136496|801-64648|REAL ESTATE FIDUCIARY SERVICES LLC|REAL ESTATE FIDUCIARY SERVICES LLC|265 FRANKLIN STREET|3RD FLOOR|BOSTON MA 02110|USA|||  ||JOHN BACZEWSKI|617-737-4517|Limited Liability Company|Pension consulting services, Other|APPROVED|09/14/2005|0|0|0|0|0|0
Boston District Office| 136516|801-65472|LOCH CAPITAL MANAGEMENT LLC|LOCH CAPITAL MANAGEMENT LLC|ONE POST OFFICE SQUARE||BOSTON MA 02109|USA|||  ||DAVID MATTHEWS|617-289-7600|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 District 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 District Office| 136629|801-65218|IVEY MANAGEMENT, LLC|IVEY MANAGEMENT, LLC|1055 WASHINGTON BLVD|C/O JEFFERSON FINANCIAL GROUP|STAMFORD CT 06901|USA|||  ||TIMOTHY IVEY|203-323-2234|Limited Liability Company|Selection of other advisers|APPROVED|01/26/2006|0|0|0|0|0|0
Boston District Office| 136648|801-65305|SIRIOS CAPITAL MANAGEMENT, L.P.|SIRIOS CAPITAL MANAGEMENT, L.P.|ONE INTERNATIONAL PLACE||BOSTON MA 02110|USA|||  ||CRAIG S. FOSCALDO|617-598-5100|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/26/2006|0|0|0|0|0|0
Boston District Office| 136664|801-65365|COURTSIDE CAPITAL LLC|COURTSIDE CAPITAL LLC|9 WEST BROAD ST|2ND FL|STAMFORD CT 06902|USA|||  ||CHARLES MURPHY|203-921-2604|Limited Liability Company|Other|APPROVED|01/23/2006|0|0|0|0|0|0
Boston District 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-120|10/03/2005|0|0|0|0|0|0
Boston District 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 businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|01/26/2006|0|0|0|0|0|0
Boston District Office| 136727|801-64617|VENUS INVESTMENT PARTNERS, LLC|VENUS INVESTMENT PARTNERS, LLC|99 SUMMER STREET|SUITE #M100|BOSTON MA 02110|USA|||  ||VIKAS MEHROTRA|617-423-1901|Limited Liability Company|Other|APPROVED|08/12/2005|0|0|0|0|0|0
Boston District 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 District 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 District Office| 136837|801-65735|DISCOVERY CAPITAL MANAGEMENT, LLC|DISCOVERY CAPITAL MANAGEMENT, LLC|20 MARSHALL ST|SUITE 310|S NORWALK CT 06854|USA|||  ||KIP ALLARDT|203-838-3188 EXT 128|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 District Office| 136891|801-66127|NS ADVISORS, LLC|NS ADVISORS, LLC|274 RIVERSIDE AVENUE||WESTPORT CT 06880|USA|||  ||ANDREW R. JONES|203-227-9898|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 District Office| 136938|801-64980|WELLESLEY ADVISORS, LLC|WELLESLEY ADVISORS, LLC|12 CLOCK TOWER PLACE|SUITE 200|MAYNARD MA 01754|USA|||  ||MAURICIO SILVA|978-823-8200|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|12/08/2005|0|0|0|0|0|0
Boston District 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 District Office| 136985|801-64692|THE MUTUAL FUND STORE|TMFS-SPRINGFIELD MA, LLC|819 WILLIAMS STREET||LONGMEADOW MA 01106|USA|||  ||JAMES FURLONG|413-567-8300|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Other|APPROVED-120|09/16/2005|0|0|0|0|0|0
Boston District Office| 137056|801-65446|NORTH SOUND CAPITAL LLC|NORTH SOUND CAPITAL LLC|20 HORSENECK LANE||GREENWICH CT 06830|US|||  ||ANDREW B. DAVID|203-340-5784|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/18/2006|0|0|0|0|0|0
Boston District Office| 137057|801-65124|EMPIRE CAPITAL MANAGEMENT, LLC|EMPIRE CAPITAL MANAGEMENT, LLC|ONE GORHAM ISLAND|SUITE 201|WESTPORT CT 06880|USA|||  ||J. MARKHAM PENROD|203.454.6925|Limited Liability Company|Other|APPROVED|01/12/2006|0|0|0|0|0|0
Boston District Office| 137076|801-65307|ANDESITE|ANDESITE MANAGEMENT COMPANY, L.P.|THE PILOT HOUSE|LEWIS WHARF|BOSTON MA 02110|USA|||  ||MICHAEL R. D'AGOSTINO|(617) 326-4110|Partnership|Other|APPROVED|01/23/2006|0|0|0|0|0|0
Boston District 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 District Office| 137132|801-64935|TURNBERRY CAPITAL MANAGEMENT, L.P.|TURNBERRY CAPITAL MANAGEMENT, L.P.|410 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 District Office| 137139|801-64866|TOPWATER INVESTMENT MANAGEMENT LLC|TOPWATER INVESTMENT MANAGEMENT LLC|80 WASHINGTON ST.|SUITE 2-2|NORWALK CT 06854|USA|||  ||BRYAN BORGIA|203-852-8005|Limited Liability Company|Other|APPROVED|11/22/2005|0|0|0|0|0|0
Boston District Office| 137342|801-64812|REYNDERS, MCVEIGH CAPITAL MANAGEMENT, LLC|REYNDERS, MCVEIGH CAPITAL MANAGEMENT, LLC|700 BAY ROAD||HAMILTON MA 01982|USA|P.O. BOX 120||HAMILTON MA 01936|USA|CHARLTON REYNDERS, III|(978) 626-0003|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|11/21/2005|0|0|0|0|0|0
Boston District Office| 137392|801-65756|GRAHAM CAPITAL MANAGEMENT, L.P.|GRAHAM CAPITAL MANAGEMENT, L.P.|ROCK LEDGE FINANCIAL CENTER|40 HIGHLAND AVENUE|ROWAYTON CT 06853|USA|||  ||TIMOTHY SPERRY|203-899-3400|Partnership|Other|APPROVED|01/26/2006|0|0|0|0|0|0
Boston District Office| 137493|801-64871|OLD IRON HILL CAPITAL MANAGEMENT, LLC|OLD IRON HILL CAPITAL MANAGEMENT, LLC|301 TRESSER BOULEVARD|7TH FLOOR|STAMFORD CT 06901|USA|||  ||T. KIRKHAM BARNEBY|(203) 316-8326|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/17/2005|0|0|0|0|0|0
Boston District Office| 137508|801-65325|HOLYOKE PARTNERS, LLC|HOLYOKE PARTNERS, LLC|145 PINCKNEY STREET, #517||BOSTON MA 02114|USA|||  ||SUSAN TANGNEY|(617) 723-6758|Limited Liability Company|Selection of other advisers, Other|APPROVED|01/26/2006|0|0|0|0|0|0
Boston District Office| 137523|801-65638|FEINGOLD O'KEEFFE CAPITAL, LLC|FEINGOLD O'KEEFFE CAPITAL, LLC|ONE INTERNATIONAL PLACE|FLOOR 23|BOSTON MA 02110|USA|||  ||OSWALD C. STREET, IV|617-310-6104|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 District Office| 137547|801-65753|AREMET CAPITAL MANAGEMENT LLC|AREMET CAPITAL MANAGEMENT LLC|55 OLD POST ROAD #2|1ST FLOOR|GREENWICH CT 06830|USA|||  ||DONNA D'ALESSANDRO|203-413-9906|Limited Liability Company|Other|APPROVED|01/31/2006|0|0|0|0|0|0
Boston District Office| 137567|801-65647|K CAPITAL MANAGEMENT, LLC|K CAPITAL MANAGEMENT, LLC|75 PARK PLAZA||BOSTON MA 02116|USA|||  ||JEFFERY A. O'NEILL|617-646-7700|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 District Office| 137570|801-65755|ROCK CREST CAPITAL LLC|ROCK CREST CAPITAL LLC|23 OLD KINGS HIGHWAY SOUTH||DARIEN CT 06820|USA|||  ||CECILIA POHORILLE|203-656-8188|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 District Office| 137575|801-65427|HIGHLANDER FUND MANAGEMENT, LLC|HIGHLANDER FUND MANAGEMENT, LLC|411 WEST PUTNAM AVENUE, SUITE 450||GREENWICH CT 06830|USA|||  ||CATHERINE IP|(203) 863-5460|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/24/2006|0|0|0|0|0|0
Boston District Office| 137577|801-65861|ARTHA CAPITAL MANAGEMENT, INC.|ARTHA CAPITAL MANAGEMENT, INC|300 FIRST STAMFORD PLACE|SUITE 440|STAMFORD CT 06902|USA|||  ||ROBERT MUNRO, JR.|203-653-5305|Corporation|Other|APPROVED|01/30/2006|0|0|0|0|0|0
Boston District Office| 137631|801-64899|AARP FINANCIAL|AARP FINANCIAL INCORPORATED|TWO HIGHWOOD DRIVE|2ND FLOOR|TEWKSBURY MA 08176|USA|601 E STREET N.W.||WASHINGTON DC 20049|USA|LEILANI SANDERS HALL|202-434-3647|Corporation|Portfolio management for investment companies|APPROVED-120|11/15/2005|0|0|0|0|0|0
Boston District Office| 137676|801-65680|"LITCHFIELD CAPITAL"|LITCHFIELD CAPITAL MANAGEMENT, LLC|24 VILLAGE GREEN DR, BLDG D||LITCHFIELD CT 06759|USA|||  ||ANDREW TORBIN|860-567-1101|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
Boston District Office| 137760|801-65377|MANCHESTER MANAGEMENT|MANCHESTER MANAGEMENT COMPANY, L.L.C.|545 BOYLSTON ST, SUITE 202||BOSTON MA 02116|USA|||  ||WENDY WOODRUFF|617-399-1740|Limited Liability Company|Other|APPROVED|01/19/2006|0|0|0|0|0|0
Boston District Office| 137782|801-65255|PROLOGUE CAPITAL, L.P.|PROLOGUE CAPITAL, L.P.|12 HAVEMEYER PLACE||GREENWICH CT 06830|USA|||  ||PETER MCTEAGUE|203-842-0300|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|01/26/2006|0|0|0|0|0|0
Boston District 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 District Office| 137821|801-65451|COPERNICUS INTERNATIONAL LLC|COPERNICUS INTERNATIONAL LLC|19A ENSIGN DRIVE||AVON CT 06001|USA|||  ||PETER DE SVASTICH|860-773-6510|Limited Liability Company|Other|APPROVED|01/24/2006|0|0|0|0|0|0
Boston District Office| 137823|801-65479|HAMMERMAN CAPITAL MANAGEMENT LLC|HAMMERMAN CAPITAL MANAGEMENT LLC|101 HUNTINGTON AVENUE|25TH FLOOR|BOSTON MA 02199|USA|||  ||KURT P. DAHLGREN|617-424-4403|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/24/2006|0|0|0|0|0|0
Boston District Office| 137877|801-64976|MERRITT CAPITAL INVESTMENT ADVISORS LLC|MERRITT CAPITAL INVESTMENT ADVISORS LLC|9 OLD KINGS HIGHWAY SOUTH|SUITE 300|DARIEN CT 06820|USA|||  ||MARY JO DYER|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 District Office| 137941|801-65842|ADDISON CLARK MANAGEMENT, L.L.C.|ADDISON CLARK MANAGEMENT, L.L.C.|2960 POST ROAD|SUITE 200|SOUTHPORT CT 06890-1268|USA|||  ||STEVEN ZUCKER|203-254-8704|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 District Office| 137964|801-66278|DRUM CAPITAL MANAGEMENT LLC|DRUM CAPITAL MANAGEMENT LLC|18 MARSHALL STREET|SUITE 330|SOUTH NORWALK CT 06854|USA|||  ||DAWN DUFFY|203-604-2625|Limited Liability Company|Other|APPROVED|02/28/2006|0|0|0|0|0|0
Boston District 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-120|01/23/2006|0|0|0|0|0|0
Boston District 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 District 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 District Office| 138080|801-65251|FRORER CAPITAL MANAGEMENT, INC.|FRORER CAPITAL MANAGEMENT, INC.|15 NORTH BALCH STREET||HANOVER NH 03755|USA|||  ||PETER H. FRORER|603-643-4749|Corporation|Other|APPROVED|01/30/2006|0|0|0|0|0|0
Boston District Office| 138088|801-66117|LMFA, INC.|LMFA, INC.|27 BEAVER PLACE||BOSTON MA 02108-3303|USA|||  ||SCOTT WOOSLEY|617-742-0600|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|02/01/2006|0|0|1|0|0|0
Boston District Office| 138124|801-65509|MENEMSHA CAPITAL GROUP, LP|MENEMSHA CAPITAL GROUP, LP|68 SOUTHFIELD AVENUE|SUITE 155|STAMFORD CT 06902|USA|||  ||SUSAN BRIGGS|203-388-2960|Partnership|Other|APPROVED|01/30/2006|0|0|0|0|0|0
Boston District Office| 138128|801-65453|LONG TRAIL INVESTMENT MANAGEMENT, L.P.|LONG TRAIL INVESTMENT MANAGEMENT, L.P.|ONE INTERNATIONAL PLACE, 24TH FLOOR||BOSTON MA 02110|USA|||  ||THOMAS GORMLEY|(617) 310-5114|Partnership|Other|APPROVED-120|01/18/2006|0|0|0|0|0|0
Boston District 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|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/23/2006|0|0|0|0|0|0
Boston District Office| 138141|801-64977|SCOTTWOOD CAPITAL MANAGEMENT, LLC|SCOTTWOOD CAPITAL MANAGEMENT, LLC|1 PICKWICK PLAZA|SUITE 125|GREENWICH CT 06830|USA|||  ||BRIAN GOLDENBERG|(203) 302-2444|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/12/2005|0|0|0|0|0|0
Boston District Office| 138165|801-65028|STRUCTURED FUNDS ADVISORS, LLC|STRUCTURED FUNDS ADVISORS, LLC|5 DANIEL COURT||WESTPORT CT 06880|USA|||  ||KEITH STYRCULA|917-612-1896|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED-120|02/02/2006|0|0|0|0|0|0
Boston District Office| 138169|801-65475|SAILFISH CAPITAL PARTNERS, LLC|SAILFISH CAPITAL PARTNERS, LLC|777 LONG RIDGE ROAD, BUILDING A||STAMFORD CT 06902|USA|||  ||ERNEST|203-614-3681|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 District 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 District Office| 138217|801-65062|MAYMIN CAPITAL MANAGEMENT LLC|MAYMIN CAPITAL MANAGEMENT LLC|222 RAILROAD AVENUE||GREENWICH CT 06830|USA|||  ||PHILIP MAYMIN|203-409-3643|Limited Liability Company|Other|APPROVED|01/03/2006|0|0|0|0|0|0
Boston District 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 District 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 District 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 District 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 District 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)|APPROVED|12/09/2005|0|0|0|0|0|0
Boston District Office| 138246|801-65073|INDEPENDENT FIDUCIARY ADVISORS, LLC|INDEPENDENT FIDUCIARY ADVISORS, LLC|ONE BRADLEY ROAD, SUITE 902||WOODBRIDGE CT 06525|USA|||  ||MARGARET E. HAERING|203-389-1417|Limited Liability Company|Pension consulting services, Other|APPROVED|01/10/2006|0|0|0|0|0|0
Boston District 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 District 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 District Office| 138267|801-65125|SOUTHRIDGE CAPITAL MANAGEMENT LLC|SOUTHRIDGE CAPITAL MANAGEMENT LLC|90 GROVE STREET|SUITE 204|RIDGEFIELD CT 06877|USA|||  ||HENRY SARGENT|203-431-8300|Limited Liability Company|Other|APPROVED|01/13/2006|0|0|0|0|0|0
Boston District Office| 138328|801-65148|V SQUARED INVESTMENT MANAGEMENT, LLC|V SQUARED INVESTMENT MANAGEMENT, LLC|955 MASSACHUSETTS AVE.|SUITE 306|CAMBRIDGE MA 02139|USA|||  ||JILL ROETING|617-715-9904|Limited Liability Company|Other|APPROVED|01/13/2006|0|0|0|0|0|0
Boston District Office| 138330|801-65095|GROSSMAN ASSET MANAGEMENT, L.P.|GROSSMAN ASSET MANAGEMENT, L.P.|10 GLENVILLE STREET||GREENWICH CT 06831|USA|||  ||BRUCE WILSON|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 District Office| 138332|801-65094|GROSSMAN FIXED INCOME ASSET MANAGEMENT, LLC|GROSSMAN FIXED INCOME ASSET MANAGEMENT, LLC|10 GLENVILLE STREET||GREENWICH CT 06831|USA|||  ||BRUCE WILSON|203-983-5600|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/11/2006|0|0|0|0|0|0
Boston District Office| 138333|801-65093|GROSSMAN ASSET MANAGEMENT, LLC|GROSSMAN ASSET MANAGEMENT, LLC|10 GLENVILLE STREET||GREENWICH CT 06831|USA|||  ||BRUCE WILSON|203-983-5600|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/11/2006|0|0|0|0|0|0
Boston District Office| 138386|801-65781|PORTER CAPITAL MANAGEMENT, LLC|PORTER CAPITAL MANAGEMENT, LLC|38 C GROVE STREET||RIDGEFIELD CT 06877|USA|||  ||RICHARD E. PEREIRA|203-431-0330|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
Boston District 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|0|0|0|0|0
Boston District Office| 138406|801-65506|STRATEGIC VALUE PARTNERS, LLC|STRATEGIC VALUE PARTNERS, LLC|80 FIELD POINT ROAD||GREENWICH CT 06830|USA|||  ||ELIZABETH UHL|203 618 3528|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 District Office| 138412|801-65384|BLUESTAR CAPITAL MANAGEMENT LP|BLUESTAR CAPITAL MANAGEMENT LP|993 POST ROAD EAST||WESTPORT CT 06880|USA|||  ||SALLY SARSFIELD|203-222-1014|Partnership|Selection of other advisers, Other|APPROVED|01/31/2006|0|0|0|0|0|0
Boston District Office| 138430|801-66118|TARGET U.S. MANAGEMENT, LLC|TARGET U.S. MANAGEMENT, LLC|SEVEN RIDGEWOOD DRIVE||BRIDGEWATER CT 06752|USA|||  ||KATHRYN PAYNE BELLER|(860) 355-5758|Limited Liability Company|Other|APPROVED|02/08/2006|0|0|0|0|0|0
Boston District Office| 138440|801-65321|PORTOLAN CAPITAL MANAGEMENT|PORTOLAN CAPITAL MANAGEMENT LLC|TWO INTERNATIONAL PLACE|26TH FLOOR|BOSTON MA 02110-4101|USA|||  ||NANCY BONNER|617-753-6403|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
Boston District Office| 138451|801-65163|HENDERSON CAPITAL MANAGEMENT, LLC|HENDERSON CAPITAL MANAGEMENT, LLC|31 AMHERST ROAD||WELLESLEY MA 02482|USA|||  ||STEVE FLAMMEY|508-596-8803|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|01/13/2006|0|0|0|0|0|0
Boston District Office| 138458|801-65373|P.A.W. CAPITAL PARTNERS, LP|P.A.W. CAPITAL PARTNERS, LP|4 GREENWICH OFFICE PARK|3RD FLOOR|GREENWICH CT 06831|USA|||  ||GREGORY J. MARTINSEN|(203) 862-3388|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/26/2006|0|0|0|0|0|0
Boston District Office| 138477|801-65734|TRIGRAM CAPITAL MANAGEMENT|TRIGRAM CAPITAL MANAGEMENT LP|10 GLENVILLE STREET, 3RD FLOOR||GREENWICH CT 06831|USA|||  ||RAYMOND FERNANDEZ|203-588-2812|Partnership|Other|APPROVED-120|03/06/2006|0|0|0|0|0|0
Boston District Office| 138483|801-66049|ROCK RIDGE ADVISORS, LLC|ROCK RIDGE ADVISORS, LLC|5 EDGEWOOD AVENUE|THIRD FLOOR|GREENWICH CT 06830|USA|||  ||DIANE CENCI|203-862-1700|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
Boston District Office| 138538|801-65234|MARBLE HARBOR INVESTMENT COUNSEL, LLC|MARBLE HARBOR INVESTMENT COUNSEL, LLC|21 CUSTOM HOUSE STREET, SUITE 230||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-120|01/11/2006|0|0|0|0|0|0
Boston District Office| 138542|801-65083|FS CAPITAL, LLC|FS CAPITAL, LLC|50 FEDERAL STREET||BOSTON MA 02110|USA|||  ||LYN QUILES|617-350-8999|Limited Liability Company|Other|APPROVED|01/10/2006|0|0|0|0|0|0
Boston District Office| 138551|801-65831|KEEL CAPITAL MANAGEMENT, LLC|KEEL CAPITAL MANAGEMENT, LLC|2 STAMFORD LANDING, SUITE 220|68 SOUTHFIELD AVE.|STAMFORD CT 06902-7223|USA|||  ||TOM SCALIA/JOANN ROBINSON|203-388-2912/2905|Limited Liability Company|Other|APPROVED|01/24/2006|0|0|0|0|0|0
Boston District 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 District Office| 138610|801-66013|TRIATHLON FUND MANAGEMENT, LLC|TRIATHLON FUND MANAGEMENT, LLC|125 SUMMER STREET - SUITE 1860||BOSTON MA 02110|USA|||  ||ERICK LUCERA|617-737-9241|Limited Liability Company|Other|APPROVED|01/31/2006|0|0|0|0|0|0
Boston District 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 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
Boston District Office| 138756|801-66395|PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.|PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.|60 STATE STREET||BOSTON MA 02109-1820|USA|||  ||STEPHEN P. CARR|617-422-4907|Corporation|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
Boston District Office| 138796|801-65476|CAT PARTNERS, LLC|CAT PARTNERS, LLC|20 WEST AVENUE||DARIEN CT 06820|USA|||  ||DONALD HAMILTON|203-565-8032|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 District Office| 138817|801-65499|MALLET CAPITAL MANAGEMENT, LLC|MALLET CAPITAL MANAGEMENT, LLC|177 BROAD STREET||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 District Office| 138842|801-65504|GREENWICH HARBOUR CAPITAL LLC|GREENWICH HARBOUR CAPITAL LLC|60 ARCH ST.||GREENWICH CT 06830|USA|||  ||MARC WOLPERS|203-862-8512|Limited Liability Company|Other|APPROVED-120|01/26/2006|0|0|0|0|0|0
Boston District Office| 138855|801-65712|BLUE ORCHID CAPITAL, LLC|BLUE ORCHID CAPITAL, LLC|537 STEAMBOAT ROAD|SUITE 303|GREENWICH CT 06830-7153|USA|||  ||MARYELLEN VASSALLO|203-869-5277|Limited Liability Company|Other|APPROVED|01/26/2006|0|0|0|0|0|0
Boston District Office| 138990|801-66074|WINDMILL MANAGEMENT, LLC|WINDMILL MANAGEMENT, LLC|3 PICKWICK PLAZA||GREENWICH CT 06830|USA|||  ||JEFFREY D. WILSON|203-618-1600|Limited Liability Company|Other|APPROVED|02/01/2006|0|0|0|0|0|0
Boston District Office| 139000|801-65832|TRADEX GLOBAL ADVISORS, LLC|TRADEX GLOBAL ADVISORS, LLC|35 MASON STREET|4TH FLOOR|GREENWICH CT 06830|USA|||  ||MICHAEL BEATTIE|203-863-1510|Limited Liability Company|Other|APPROVED|02/24/2006|0|0|0|0|0|0
Boston District Office| 139013|801-65694|TRILOGY CAPITAL, LLC|TRILOGY CAPITAL, LLC|2 PICKWICK PLAZA||GREENWICH CT 06830|USA|||  ||KENNETH COWIN|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 District Office| 139015|801-65833|VINYA CAPITAL LP|VINYA CAPITAL LP|1055 WASHINGTON BOULEVARD|6TH FLOOR|STAMFORD CT 06901|USA|||  ||JOSEPH NORENA|203-355-1630|Other (specify)|Other|APPROVED|01/30/2006|0|0|0|0|0|0
Boston District Office| 139019|801-66062|CAVU CAPITAL ADVISORS, LLC|CAVU CAPITAL ADVISORS, LLC|777 LONG RIDGE ROAD, BLDG A||STAMFORD CT 06902|USA|||  ||JAMES GILMORE|203-406-5062|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|02/01/2006|0|0|0|0|0|0
Boston District Office| 139021|801-65744|BREEDEN CAPITAL MANAGEMENT LLC|BREEDEN CAPITAL MANAGEMENT LLC|100 NORTHFIELD STREET||GREENWICH CT 06830|USA|||  ||MICHAEL STELLWAGEN|203-618-0065|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|01/26/2006|0|0|0|0|0|0
Boston District Office| 139026|801-65762|SKYSTONE CAPITAL MANAGEMENT LP|SKYSTONE CAPITAL MANAGEMENT LP|TWO INTERNATIONAL PLACE|SUITE 1800|BOSTON MA 02110|USA|||  ||KERRY NELSON|617-603-2080|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/2006|0|0|0|0|0|0
Boston District Office| 139030|801-65684|ISIS CAPITAL|LM ISIS CAPITAL PARTNERS, LLC|20 EAST ELM STREET||GREENWICH CT 06830|USA|||  ||EVAN B. JENNINGS|203-983-7555|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 District Office| 139068|801-65865|FLAG CAPITAL MANAGEMENT, LLC|FLAG CAPITAL MANAGEMENT, LLC|1266 EAST MAIN STREET|5TH FLOOR|STAMFORD CT 06902|USA|||  ||LOUIS SCIARRETTA|203-352-0440|Limited Liability Company|Other|APPROVED|01/30/2006|0|0|0|0|0|0
Boston District Office| 139077|801-65806|BLACK ARROW CAPITAL MANAGEMENT, LLC|BLACK ARROW CAPITAL MANAGEMENT, LLC|73 ARCH STREET||GREENWICH CT 06830|USA|||  ||JOHN MCCLEARY|203-863-5403|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 District 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 District Office| 139114|801-65828|PICKWICK CAPITAL ADVISORS LLC|PICKWICK CAPITAL ADVISORS LLC|172 DAN'S HIGHWAY||NEW CANAAN CT 06840|USA|||  ||VALERI V. PAVLOV|(646) 325-4897|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|01/24/2006|0|0|0|0|0|0
Boston District Office| 139157|801-66082|LOCK CAPITAL MANAGEMENT LLC|LOCK CAPITAL MANAGEMENT LLC|440 MAIN STREET||RIDGEFIELD CT 06877|USA|||  ||MICHAEL LOCKWOOD|203-894-8464|Limited Liability Company|Other|APPROVED-120|01/27/2006|0|0|0|0|0|0
Boston District 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-120|01/27/2006|0|0|0|0|0|0
Boston District Office| 139386|801-66179|KITCHEN TABLE ADVICE, LLC|KITCHEN TABLE ADVICE, LLC|375 WILBRAHAM ROAD||HAMPDEN MA 01036|USA|||  ||RAYMOND ALLEN ANDREE|413-566-3964|Limited Liability Company|Financial 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
Boston District Office| 139570|801-66231|CHESWICK WRIGHT WEALTH MANAGEMENT LLC|CHESWICK WRIGHT WEALTH MANAGEMENT LLC|131 ROWAYTON AVENUE||ROWAYTON CT 06853|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-120|02/15/2006|0|0|0|0|0|0
Boston District Office| 139590|801-66292|LYDIA CAPITAL, LLC|LYDIA CAPITAL, LLC|2 LAWRENCE STREET||BOSTON MA 02116|USA|||  ||EVAN ANDERSEN|617-510-2624|Limited Liability Company|Other|APPROVED-120|02/24/2006|0|0|0|0|0|0
Boston District Office| 139595|801-66253|3D ASSET MANAGEMENT, INC.|3D ASSET MANAGEMENT, INC.|3 OAKWOOD DRIVE||SOUTH WINDSOR CT 06074|USA|||  ||JOHN O'CONNOR|860-368-2915|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|02/04/2006|0|0|0|0|0|0
Boston District Office| 139609|801-66286|CRESCAM ASSET MANAGEMENT, LLC|CRESCAM ASSET MANAGEMENT, LLC|222 BERKELEY STREET|12TH FLOOR|BOSTON MA 02116|USA|||  ||JEFFREY R. PORTER|(617) 262-2700|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/07/2006|0|0|0|0|0|0
Central 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|||  ||MICHAEL HUSS|402-351-5225|Corporation|Financial planning services, Portfolio management for 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
Central 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|3|2|0|0|0
Central Regional Office|   7862|801-14003|CENTENNIAL ASSET MANAGEMENT CORPORATION|CENTENNIAL ASSET MANAGEMENT CORPORATION|6803 SOUTH TUCSON WAY||CENTENNIAL CO 80112-3924|USA|||  ||ROBERT ZACK|212-323-0250|Corporation|Portfolio management for investment companies|APPROVED|08/30/1978|0|22|1|0|0|0
Central 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
Central 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.|RICHARD DUNSTAN|303-446-8400|Corporation|Financial planning services, Portfolio management 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|36|1|0|0|0
Central Regional Office|  13623|801-58158|FIRST WESTERN ADVISORS|FIRST WESTERN ADVISORS|46 WEST BROADWAY, SUITE 200||SALT LAKE CITY UT 84101|USA|||  ||CHARLEEN PERRINE|801-521-3500|Corporation|Financial planning services, 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
Central 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 investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/13/1998|0|20|8|0|0|0
Central Regional Office|  18189|801-29070|LARIMER CAPITAL CORPORATION|LARIMER CAPITAL CORP|1380 SEVENTEENTH STREET||DENVER CO 80202|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
Central 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
Central Regional Office|  36487|801-61692|UNITED SECURITIES ALLIANCE, INC.|UNITED SECURITIES ALLIANCE, INC.|7730 EAST BELLEVIEW AVENUE|SUITE AG-9|GREENWOOD VILLAGE CO 80111|USA|||  ||DANA L. DAVIS|303.792.0500|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
Central Regional Office|  37196|801-64008|INVESTMENT MANAGEMENT CORPORATION|INVESTMENT MANAGEMENT CORPORATION|563 W 500 S|SUITE 225|BOUNTIFUL UT 84010|USA|||  ||BRIAN HORNE|801-951-1088|Corporation|Financial planning 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|02/28/2005|0|6|0|0|0|0
Central Regional Office|  41438|801-52357|CAPITAL CONSULTING & ASSET MANAGEMENT|CAPITAL CONSULTING & ASSET MANAGEMENT, INC.|140 N. 8TH STREET|SUITE 410|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
Central 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 individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/13/1998|0|11|10|0|0|0
Central Regional Office|  46727|801-62731|FIXED INCOME SECURITIES, LP|FIXED INCOME SECURITIES, LP|18925 BASE CAMP ROAD|SUITE 203|MONUMENT CO 80132|USA|||  ||CRAIG FIDLER|719-488-6176|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/06/2004|0|1|0|0|0|0
Central 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
Central 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
Central 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
Central 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
Central Regional Office| 104851|801-36028|CAMBRIDGE ADVISORS INC|CAMBRIDGE ADVISORS INC|12829 W. DODGE RD, STE 201||OMAHA NE 68154|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
Central 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
Central 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
Central Regional Office| 104957|801-50648|QA3 FINANCIAL LLC|QA3 FINANCIAL LLC|ONE VALMONT PLAZA|4TH FLOOR|OMAHA NE 68154-5203|USA|||  ||MEDINGER, AMY|402-964-3832|Limited Liability Company|Financial planning services, Portfolio management 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|1|0|0|0|0
Central Regional Office| 104993|801-28753|YELLOWSTONE PARTNERS LLC|FRED L. DOWD COMPANY|104 SOUTH WOLCOTT, SUITE 740||CASPER WY 82601|USA|||  ||DAVID HANSEN|208-542-1233|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|03/13/1987|0|0|0|0|0|0
Central Regional Office| 105032|801-33557|HARBOR FINANCIAL ADVISORY, INC.|FOSTER ELYSE DOLPH|1919 14TH ST., STE 808||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
Central 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
Central 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
Central 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
Central 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
Central 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
Central Regional Office| 105166|801-27507|CALTON JOHN L|CALTON JOHN LOWELL|6178 EAST LONG PLACE||ENGLEWOOD CO 80112|USA|P.O. BOX 4872||ENGLEWOOD CO 80155|USA|CALTON, JOHN L|303-741-6515|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
Central 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|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
Central Regional Office| 105433|801-14889|WILLIAM E, SWEET & ASSOCIATES|SWEET WILLIAM ELLERY III|1777 S. HARRISON, STE 620||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
Central 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
Central 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
Central 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
Central 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
Central 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
Central 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
Central 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
Central 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
Central 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
Central 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
Central Regional Office| 105957|801-18270|ALBION FINANCIAL GROUP|ALBION MANAGEMENT GROUP|812 EAST 2100 SOUTH||SALT LAKE CITY UT 84106|USA|||  ||BLOOM, KIMBERLY 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
Central Regional Office| 105962|801-45326|PARAGON CAPITAL MANAGEMENT INC|PARAGON CAPITAL MANAGEMENT INC|3651 NORTH 100 EAST|SUITE 275|PROVO UT 84604|USA|||  ||MURCHISON, MELISSA D.|801-375-2500|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
Central Regional Office| 106043|801-63664|UMA FINANCIAL SERVICES INC|UMA FINANCIAL SERVICES INC|540 EAST 500 SOUTH||SALT LAKE CITY UT 84102|USA|||  ||SEARLE, TRENT L|801 355-7477|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/03/2005|0|0|0|0|0|0
Central 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, Publication of periodicals or newsletters|APPROVED|11/26/1996|0|0|0|0|0|0
Central 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
Central Regional Office| 106081|801-11095|WASATCH ADVISORS INC|WASATCH ADVISORS INC|150 SOCIAL HALL AVENUE, 4TH FLOOR||SALT LAKE CITY UT 84111|USA|||  ||EDWARDS, VENICE FARNSWORTH|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), Other|APPROVED|10/23/1975|0|0|0|0|0|0
Central 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
Central 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
Central Regional Office| 106120|801-40896|HEBERT ADVISORY SERVICES INC|HEBERT ADVISORY SERVICES INC|1501 WASHINGTON AVENUE||GOLDEN CO 80401|USA|||  ||HEBERT, RICHARD LEE|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
Central 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
Central 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
Central 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, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|04/08/2004|0|0|0|0|0|0
Central 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
Central Regional Office| 106198|801-49283|MITCHELL & CO., CPAS, PC|MITCHELL & CO., CPA'S PC|2465 CENTRAL AVENUE|SUITE 203|BOULDER CO 80301|USA|||  ||MITCHELL, ALAN|303-543-8988|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/05/1995|0|0|0|0|0|0
Central Regional Office| 106246|801-42322|MONTECITO GROUP|MONTECITO GROUP INC|2853 FOOTHILLS ROAD||CHEYENNE WY 82009|USA|P.O. BOX 20345||CHEYENNE WY 82003-7008|USA|MUNRO, YONA L|307 637-2375|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|09/23/1992|0|0|0|0|0|0
Central 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, Publication of periodicals or newsletters|APPROVED|06/06/1991|0|0|0|0|0|0
Central 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, Market timing services|APPROVED|08/02/1994|0|0|1|0|0|0
Central Regional Office| 106357|801-17853|THORNBURG INVESTMENT MANAGEMENT INC|THORNBURG INVESTMENT MANAGEMENT INC|119 EAST MARCY STREET|SUITE 202|SANTA FE NM 87501|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
Central Regional Office| 106393|801-47146|KESSLER INVESTMENT ADVISORS INC|KESSLER INVESTMENT ADVISORS INC|1725 BLAKE ST||DENVER CO 80202|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
Central 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
Central 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
Central 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
Central Regional Office| 106490|801-42281|CORUNDUM GROUP INC|CORUNDUM GROUP INC|730 NORTH NEVADA AVENUE||COLORADO SPRINGS CO 80903|USA|||  ||JOHNSON, RONALD STEVEN|719-475-9886|Corporation|Financial planning services, 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
Central 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
Central Regional Office| 106527|801-40271|PINNACLE WEST ASSET MANAGEMENT INC|PINNACLE WEST ASSET MANAGEMENT INC|300 COUNTRY CLUB ROAD STE 302||CASPER WY 82609|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
Central Regional Office| 106554|801-25258|PERFORMANCE ENHANCEMENT TECHNOLOGIES LTD|PERFORMANCE ENHANCEMENT TECHNOLOGIES LTD|25 N. SPRUCE STREET, SUITE 302||COLORADO SPRINGS CO 80905|USA|||  ||SCOTT, JOHN W|719-473-5460|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Publication of periodicals or newsletters, Market timing services|APPROVED|09/13/1985|0|0|0|0|0|0
Central 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
Central Regional Office| 106589|801-30802|INTEGRATED CONCEPTS INC|INTEGRATED CONCEPTS INC|300 UNION BOULEVARD SUITE 520||LAKEWOOD CO 80228|USA|||  ||PAM SMITH|303-985-0117|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|12/14/1987|0|0|0|0|0|0
Central 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
Central 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
Central 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
Central 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
Central Regional Office| 106769|801-39554|WESTPEAK GLOBAL ADVISORS, L.P.|WESTPEAK GLOBAL ADVISORS, L.P.|1470 WALNUT STREET||BOULDER CO 80302-5333|USA|||  ||CLAUNCH, EDWARD S.|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|0|0|0|0|0
Central 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|||  ||HUTCHINSON, DENISE|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
Central Regional Office| 106790|801-50721|MARKETSPACE FINANCIAL|MARKETSPACE FINANCIAL INC|6565 AMERICAS PARKWAY NE|SUITE 611|ALBUQUERQUE NM 87110|USA|||  ||FOLLINGSTAD, RICHARD H|505-883-3131|Corporation|Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|12/01/1995|0|0|0|0|0|0
Central Regional Office| 106802|801-43661|SPENCE ASSET MANAGEMENT|SPENCE ASSET MANAGEMENT|2455 EAST MISSOURI|SUITE A|LAS CRUCES NM 88001|USA|||  ||WALTON, SHEILA C|505-556-8500|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
Central Regional Office| 106872|801-34330|REBER/RUSSELL CO|REBER RUSSELL CO|1441 WAZEE ST|SUITE 104|DENVER CO 80202|USA|||  ||REBER, JOSEPH PATE|(303)299-9444|Corporation|Financial planning services, Portfolio management 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|04/28/1989|0|0|0|0|0|0
Central 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
Central Regional Office| 106899|801-33635|ANGELL FINANCIAL|ANGELL FINANCIAL|104 S CASCADE|SUITE 209|COLORADO SPRINGS CO 80906|USA|||  ||ANGELL, ROYCE V|719-633-6688|Partnership|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
Central 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
Central 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|Portfolio management for individuals and/or small businesses|APPROVED|04/22/1996|0|0|0|0|0|0
Central 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|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|0|0|0|0
Central 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|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
Central Regional Office| 107019|801-38227|KOPPER INVESTMENT MANAGEMENT, INC.|KOPPER INVESTMENT MANAGEMENT INC|104 S. CASCADE AVENUE, STE 209||COLORADO SPRINGS CO 80903|USA|||  ||KOPPER, WILLIAM BRUCE|719-578-2040|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/07/1991|0|0|0|0|0|0
Central 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
Central Regional Office| 107037|801-37189|AGILE ADVISORS INC.|NATURAL WEALTH REAL ESTATE INC|4909 PEARL EAST CIRCLE|STE. 300|BOULDER CO 80301|USA|||  ||BARNETT,TIMOTHY GEORGE THOROLD|303-440-6500|Corporation|Financial planning services, Selection of other advisers|APPROVED|10/05/1990|0|0|0|0|0|0
Central Regional Office| 107070|801-52077|AGILE ALLOCATION SERVICES LLC|TACTICAL ALLOCATION SERVICES LLC|4909 PEARL EAST CIRCLE|STE. 300|BOULDER CO 80301|USA|||  ||BARNETT, TIMOTHY GEORGE THOROLD|303-440-6500|Limited Liability Company|Portfolio management for investment companies, Selection of other advisers, Market timing services|APPROVED|06/03/1996|0|0|0|0|0|0
Central Regional Office| 107084|801-52094|QWEST ASSET MANAGEMENT COMPANY|QWEST ASSET MANAGEMENT COMPANY|1005 17TH STREET, SUITE 250||DENVER CO 80202-2028|USA|||  ||KAREN M. FRAME|303-382-6035|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
Central 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)|APPROVED|06/27/1995|0|0|0|0|0|0
Central 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
Central Regional Office| 107156|801-37889|JANICZEK & COMPANY, LTD.|JJJ ADVISORS INC|8400 E. CRESCENT PARKWAY|SUITE 160|GREENWOOD VILLAGE CO 80111-2831|USA|||  ||JOSEPH JOHN JANICZEK|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
Central 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
Central 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
Central Regional Office| 107231|801-17274|CENTURY FUNDS MANAGEMENT INC|CENTURY FUNDS MANAGEMENT INC|103 WEST CENTERVILLE COMMONS||CENTERVILLE UT 84014|USA|||  ||HUNTER, JOHN LARRY|914 574-1570|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
Central 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|11|0|0|0|0
Central Regional Office| 107293|801-47933|DENVER INVESTMENT ADVISORS LLC|DENVER INVESTMENT ADVISORS LLC|1225 17TH ST|26TH FLOOR|DENVER CO 80202|USA|||  ||TODGER ANDERSON|303-312-5050|Limited Liability Company|Portfolio 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
Central 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
Central 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|APPROVED|06/29/1989|0|0|0|0|0|0
Central 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
Central 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), Pension consulting services|APPROVED|04/23/1998|0|0|0|0|0|0
Central 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
Central Regional Office| 107392|801-51758|MONTICELLO ASSOCIATES INC|MONTICELLO ASSOCIATES INC|1200 17TH STREET|SUITE 2600|DENVER CO 80202|USA|||  ||CRISTY K. HOTT|(303)572-6300|Corporation|Pension consulting services, Selection of other advisers, Other|APPROVED|04/18/1996|0|0|0|0|0|0
Central 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
Central 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
Central 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
Central Regional Office| 107485|801-45532|BAYDUSH SIMON WEAVER, LLC|BAYDUSH SIMON WEAVER, LLC|2336 PEARL STREET, SUITE 100||BOULDER CO 80302|USA|||  ||DREW STANFORD SIMON|303-444-9696|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|01/03/1994|0|0|0|0|0|0
Central 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), Publication of periodicals or newsletters, Other|APPROVED|02/16/1996|0|0|0|0|0|0
Central 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
Central Regional Office| 107563|801-49990|GHP INVESTMENT ADVISORS INC|GHP INVESTMENT ADVISORS INC|1670 BROADWAY|SUITE 3000|DENVER CO 80202|USA|||  ||BRIAN FRIEDMAN|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
Central 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
Central Regional Office| 107625|801-41655|RONNA COHEN|COHEN RONNA SUE|3661 EAST 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
Central 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
Central 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
Central 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
Central 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|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/25/1999|0|2|0|0|0|0
Central Regional Office| 107789|801-55781|FWD INVESTMENTS INC.|FWD INVESTMENTS INC.|8480 E. ORCHARD RD. #3100|C/O STIFEL NICHOLAS|GREENWOOD VILLAGE CO 80111-5017|USA|5500 PEMBERTON DR||GREENWOOD VILLAGE CO 80121|USA|FREDERIC W. DUBOC|720-488-0992|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|08/18/1998|0|0|0|0|0|0
Central 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
Central 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
Central Regional Office| 107844|801-52499|ANDERSON ROXANNE FIE|ANDERSON ROXANNE FIE|9 MULE DEER TRAIL||LITTLETON CO 80127|USA|||  ||ROXANNE FIE ANDERSON|303-948-2313|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|07/25/1996|0|0|0|0|0|0
Central 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
Central 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|DOUGLAS P. MILLER|701-852-1264|Limited Liability Company|Portfolio management for investment companies|APPROVED|07/02/1999|1|1|0|0|0|0
Central 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|APPROVED|01/01/2000|0|2|0|0|0|0
Central 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
Central Regional Office| 108140|801-55237|PRIVATE CAPITAL MANAGEMENT INC.|PRIVATE CAPITAL MANAGEMENT INC.|210 ST PAUL STREET|SUITE 225|DENVER CO 80206|USA|||  ||MARY R. MEADE|303-370-0055|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|02/06/1998|0|0|0|0|0|0
Central Regional Office| 108153|801-55966|SEMPER AUGUSTUS INVESTMENTS GROUP LLC|SEMPER AUGUSTUS INVESTMENTS GROUP LLC|3164 ROCKBRIDGE DRIVE||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
Central 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
Central 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|JON GROSS|4023231184|Corporation|Portfolio management for investment companies|APPROVED|01/26/2001|0|0|0|0|0|0
Central Regional Office| 108268|801-38868|ICON ADVISERS, INC.|ICON ADVISERS, INC.|5299 DTC BOULEVARD|SUITE 1200|GREENWOOD VILLAGE CO 80111|USA|||  ||DONALD SALCITO|303-790-1600|Corporation|Portfolio 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
Central 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
Central Regional Office| 108325|801-38096|RAINSBERGER WEALTH ADVISORS, INC.|RAINSBERGER WEALTH ADVISORS, INC.|980 PICO POINT||COLORADO SPRINGS CO 80906|USA|P.O. BOX 60909||COLORADO SPRINGS CO 80960-0909|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
Central Regional Office| 108418|801-56050|MOYLAN KROPP RETIREMENT PLANNING, LLC|MOYLAN KROPP RETIREMENT PLANNING, LLC|7101 MERCY ROAD|SUITE 216|OMAHA NE 68106|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
Central 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
Central 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|0|0|0|0|0
Central Regional Office| 108485|801-55503|WATERSHED INVESTMENT CONSULTANTS INC|WATERSHED INVESTMENT CONSULTANTS INC|1745 SHEA CENTER DRIVE|SUITE 320|HIGHLANDS RANCH CO 80129-1539|USA|||  ||KEVIN G. YOSHIDA|303-738-0300|Corporation|Pension consulting services|APPROVED|04/30/1998|0|0|0|0|0|0
Central 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
Central 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|11|0|0|0|0
Central Regional Office| 108581|801-57585|CRESTONE ASSET MANAGEMENT LLC|CRESTONE ASSET MANAGEMENT LLC|1050 WALNUT ST|SUITE 402|BOULDER CO 80302|USA|||  ||COLLEEN CRAVEN|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
Central 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
Central 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
Central Regional Office| 108745|801-56515|BOULDER INVESTMENT ADVISERS LLC|BOULDER INVESTMENT ADVISERS LLC|1680 38TH ST|STE 800|BOULDER CO 80301|USA|||  ||STEPHEN C. MILLER|303-444-5483|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/17/1999|0|0|0|0|0|0
Central Regional Office| 108833|801-64029|BROWN WHEELDON INVESTMENT ADVISORS LLP|BROWN WHEELDON INVESTMENT ADVISORS LLP|150 EAST 9TH ST|STE 300|DURANGO CO 81301|USA|||  ||G. STEPHEN WHEELDON|970-259-8000|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
Central Regional Office| 108872|801-57450|STRATEGIC CAPITAL ADVISERS, INC.|STRATEGIC CAPITAL ADVISERS, INC.|600 SOUTH CHERRY STREET, SUITE 800||DENVER CO 80246|USA|||  ||JOHN HANCOCK|303-333-0060|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|04/28/2000|0|0|0|0|0|0
Central Regional Office| 108902|801-54938|MONUMENT CAPITAL MANAGEMENT, INC|MONUMENT CAPITAL MANAGEMENT, INC|1265 MERRINGTON COURT||MONUMENT CO 80132|USA|3400 E. SPEEDWAY BLVD.|SUITE 118, #188|TUCSON AZ 85716||PAUL SORENSEN|719-310-7388|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|10/09/1997|0|0|0|0|0|0
Central 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
Central Regional Office| 108946|801-55339|PINE LAKE ADVISORS, INC.|PINE LAKE ADVISORS INC|4000 PINE LAKE ROAD||LINCOLN NE 68516|USA|||  ||CAROL J. WATSON|(402) 437-3610|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
Central Regional Office| 108979|801-54876|TETON CAPITAL ADVISERS|TETON CAPITAL ADVISERS|1115 MAPLE WAY SUITE B||JACKSON WY 83001|USA|P.O. BOX 12350||JACKSON WY 83002|USA|SCOTT KIRKPATRICK|307-734-5000|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|09/18/1997|0|0|0|0|0|0
Central Regional Office| 108986|801-57036|INSTITUTIONAL CAPITAL MANAGEMENT, INC.|INSTITUTIONAL CAPITAL MANAGEMENT, INC.|808 SOUTH PUBLIC ROAD|SUITE 101|LAFAYETTE CO 80026|USA|||  ||ROBERT 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
Central Regional Office| 109036|801-56587|FIRST AFFIRMATIVE FINANCIAL NETWORK LLC|FIRST AFFIRMATIVE FINANCIAL NETWORK LLC|1040 SOUTH 8TH ST|SUITE 100|COLORADO SPRINGS CO 80906|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
Central 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
Central Regional Office| 109117|801-57390|CHAPEL & COLLINS, LLC|CHAPEL & COLLINS, LLC|375 EAST HORSETOOTH RD BLDG 4|SUITE 201|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
Central Regional Office| 109250|801-54914|MARSICO CAPITAL MANAGEMENT,LLC|MARSICO CAPITAL MANAGEMENT LLC|1200 17TH STREET|SUITE 1600|DENVER CO 80202-5824|USA|||  ||THOMAS M.J. KERWIN|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|6|0|0|0|0
Central Regional Office| 109251|801-57055|LIGHTHOUSE FINANCIAL LLC|LIGHTHOUSE FINANCIAL LLC|360 INTERLOCKEN BLVD.|SUITE 101|BROOMFIELD CO 80021|USA|||  ||GUSTIN FOX-SMITH|303-444-1818|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), Pension consulting services|APPROVED|12/23/1999|0|0|0|0|0|0
Central Regional Office| 109260|801-57279|HINDS FINANCIAL GROUP|CENTURION HINDS INVESTMENT MANAGEMENT INC.|141 UNION BOULEVARD|SUITE 350|LAKEWOOD CO 80228|USA|||  ||RONALD H. SANTO|203-708-3327|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/09/2000|2|0|0|0|0|0
Central 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
Central 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
Central Regional Office| 109381|801-55150|AMERITAS INVESTMENT ADVISORS INC|AMERITAS INVESTMENT ADVISORS INC|5900 O STREET||LINCOLN NE 68510|USA|||  ||GREGORY C. SERNETT|402-467-7853|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|01/13/1998|0|0|1|0|0|0
Central 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
Central 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|APPROVED|03/14/2000|0|0|1|0|0|0
Central 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
Central 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
Central Regional Office| 109560|801-57916|EVEREST FUNDS MANAGEMENT LLC|EVEREST FUNDS MANAGEMENT LLC|5805 S. 86TH CIRCLE||OMAHA NE 68127|USA|||  ||CURT VAN HILL|402-593-4548|Limited Liability Company|Portfolio 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
Central Regional Office| 109578|801-55317|THE KARRAS COMPANY, INC.|THE KARRAS COMPANY, INC.|4695 S 1900 WEST, SUITE 3||ROY UT 84067|USA|||  ||NOLAN ELDON 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
Central 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
Central 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
Central Regional Office| 109661|801-47199|HANSEN WEALTH MANAGEMENT|HANSEN, BRIAN BENNETT|177 EAST PIONEER RD||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
Central 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)|APPROVED|09/01/1983|0|0|0|0|0|0
Central 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|||  ||KAREN KARL|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
Central Regional Office| 109825|801-45074|SCHIELD MANAGEMENT COMPANY|SCHIELD MANAGEMENT COMPANY|7991 SHAFFER PARKWAY, SUITE 200||LITTLETON CO 80127-3736|USA|P. O. BOX 277001||LITTLETON CO 80127-7001|USA|COREY COLEHOUR|(303) 985-9999|Partnership|Other|APPROVED|09/27/1993|0|2|1|0|0|0
Central Regional Office| 109904|801-60238|ORIZON INVESTMENT COUNSEL LLC|ORIZON INVESTMENT COUNSEL LLC|16924 FRANCES STREET|SUITE 200|OMAHA NE 68130-2311|USA|||  ||GARY W. LANZEN|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
Central Regional Office| 109910|801-60047|FRONTIER ASSET MANAGEMENT, LLC|FRONTIER ASSET MANAGEMENT, LLC|52 SOUTH MAIN STREET||SHERIDAN WY 82801|USA|P.O. BOX 2086||SHERIDAN WY 82801|USA|CHRIS NELSON|307-673-5675|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, Security ratings or pricing services|APPROVED|03/09/2001|0|0|0|0|0|0
Central Regional Office| 109924|801-61042|CAPITAL INVESTMENT MANAGEMENT|CAPITAL INVESTMENT MANAGEMENT, INC.|8055 E. TUFTS AVENUE|SUITE1350|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
Central Regional Office| 109937|801-60930|WAGNER WEALTH MANAGEMENT, LLC|WAGNER WEALTH MANAGEMENT, LLC|50 SOUTH STEELE STREET|SUITE 215|DENVER CO 80209|USA|||  ||IRWIN WAGNER|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
Central 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
Central Regional Office| 109978|801-63994|IRVING PLANNING & INVESTMENTS, LTD.|IRVING PLANNING & INVESTMENTS, LTD.|3595 SOUTH  TELLER STREET|SUITE 303|DENVER CO 80235|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
Central Regional Office| 109982|801-46608|JONES BARCLAY BOSTON & CO.|JONES BARCLAY BOSTON & COMPANY|1675 BROADWAY, SUITE 2400||DENVER CO 80202|USA|||  ||CRAIG S. JONES|303-592-4282|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|05/24/1994|0|0|0|0|0|0
Central Regional Office| 110062|801-20470|FIRST NATIONAL FINANCIAL MANAGEMENT, INC.|FIRST NATIONAL FINANCIAL MANAGEMENT INC|200 WEST 17TH STREET|SUITE 120|CHEYENNE WY 82001|USA|P. O. BOX 507||CHEYENNE WY 82003-0507|UNITED STATES|EDWIN L. PATRICK|307-635-5500|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/01/1984|0|0|0|0|0|0
Central Regional Office| 110069|801-54953|OBERMEYER ASSET MANAGEMENT CO|OBERMEYER ASSET MANAGEMENT CO|616 EAST HYMAN STE 101||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
Central Regional Office| 110110|801-34341|SCHAEFER FINANCIAL MANAGEMENT, INC.|SCHAEFER FINANCIAL MANAGEMENT, INC.|7700 E ARAPAHOE RD|SUITE 265|ENGLEWOOD CO 80112|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
Central 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
Central Regional Office| 110364|801-37728|OMNI INVESTMENT ADVISORS INC|OMNI INVESTMENT ADVISORS INC|10542 S. JORDAN GATEWAY|SUITE 310|SALT LAKE CITY UT 84095|USA|||  ||GARY BEYNON|(801)501-0302|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
Central 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|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies|APPROVED|12/11/1981|0|0|0|0|0|0
Central 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|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/29/2000|0|0|0|0|0|0
Central Regional Office| 110518|801-45628|SECURITIES AMERICA ADVISORS, INC.|SECURITIES AMERICA ADVISORS, INC.|7100 WEST CENTER ROAD|SUITE 500|OMAHA NE 68106-5001|USA|P.O. BOX 69001||OMAHA NE 68106-5001|USA|JARROD H. JAMES|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, Market timing services|APPROVED|01/25/1994|2|20|0|0|0|0
Central Regional Office| 110568|801-49439|CALLAHAN CAPITAL MANAGEMENT|CALLAHAN CAPITAL MANAGEMENT INC|600 S. LINCOLN AVE.|#204|STEAMBOAT SPRINGS CO 80487|USA|600 S. LINCOLN AVE. #204||STEAMBOAT SPRINGS CO 80487|USA|DAN 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
Central Regional Office| 110776|801-56902|SMITH HAYES ADVISERS INC|SMITH HAYES ADVISERS INC|1225 L STREET|200 CENTRE TERRACE|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
Central 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
Central 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
Central Regional Office| 110845|801-39481|COLORADO FINANCIAL MANAGEMENT INC|COLORADO FINANCIAL MANAGEMENT INC|2725 ROCKY MOUNTAIN AVENUE|SUITE #320|LOVELAND CO 80538|USA|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
Central Regional Office| 110870|801-17207|SMEDLEY FINANCIAL SERVICES INC|SMEDLEY FINANCIAL SERVICES INC|420 E SOUTH TEMPLE|SUITE 336|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
Central 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
Central 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
Central 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, Publication of periodicals or newsletters|APPROVED|12/19/1986|0|0|0|0|0|0
Central Regional Office| 111000|801-55812|WERCS ASSET MANAGEMENT, INC.|WERCS ASSET MANAGEMENT, INC.|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
Central 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, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/16/1999|0|0|0|0|0|0
Central 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
Central 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|APPROVED|08/06/2001|0|0|0|0|0|0
Central Regional Office| 111115|801-36051|CAUSEY DEMGEN & MOORE INC|CAUSEY DEMGEN & MOORE INC|1801 CALIFORNIA ST|STE 4650|DENVER CO 80202|USA|||  ||SUSAN H. BRACKEN|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
Central 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
Central 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
Central 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|APPROVED|02/10/1989|0|0|0|0|0|0
Central 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
Central 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
Central 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
Central Regional Office| 111486|801-45741|RICE BROWN FINANCIAL SERVICES|BROWN, RICE E|2608 WEST 240 NORTH||HURRICANE UT 84737|USA|PO BOX 910039||ST GEORGE UT 84791-0039|USA|ANN C BOWERS|435-635-2211|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
Central Regional Office| 111514|801-55501|AMERIVEST INVESTMENT MANAGEMENT, LLC|AMERIVEST INVESTMENT MANAGEMENT, LLC|1005 NORTH AMERITRADE PLACE||BELLEVUE NE 68005|USA|||  ||TERRANCE S DEWALD, ESQ.|402-970-5281|Limited Liability Company|Financial planning services|APPROVED|07/21/1998|0|1|0|0|0|0
Central 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.|LLOYD K. JAGAI|201-793-2005|Limited Liability Company|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
Central Regional Office| 111601|801-60257|FNB FUND ADVISERS|FIRST NATIONAL BANK OF OMAHA|1620 DODGE STREET|STOP 1075|OMAHA NE 68197-1075|USA|||  ||TODD TRAUTMAN|(402)633-3498|Other (specify)|Portfolio management for investment companies, Other|APPROVED|05/23/2001|0|0|0|0|0|0
Central Regional Office| 111602|801-57578|MONARCH CAPITAL MANAGEMENT LLC|MONARCH CAPITAL MANAGEMENT LLC|7626 S. YAMPA ST.||CENTENNIAL CO 80016|USA|||  ||WILLIAM CARLOS POWELSON|303-221-3353|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|05/11/2000|0|0|0|0|0|0
Central Regional Office| 111709|801-60148|CAPITAL FINANCIAL GROUP, INC.|CAPITAL FINANCIAL GROUP, INC.|1660 WYNKOOP STREET SUITE 1155||DENVER CO 80202|USA|||  ||DENNIS A. LEONIDA|(303) 629-7500|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/13/2001|0|0|0|0|0|0
Central Regional Office| 111711|801-30439|CHERRY ST PARTNERS|HHM LTD|425 S CHERRY ST STE 900||DENVER CO 80246|USA|||  ||PAUL LAMBERT|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|APPROVED|10/05/1987|0|0|0|0|0|0
Central 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
Central Regional Office| 111903|801-57841|SENDERO CAPITAL MANAGEMENT, INC.|SENDERO CAPITAL MANAGEMENT, INC.|1655 LA FONDA||LAS CRUCES NM 88001|USA|||  ||ROGER LORD|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
Central 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
Central Regional Office| 112024|801-19008|THE WEALTH CONSERVANCY, INC.|THE WEALTH CONSERVANCY, INC.|1919 14TH STREET|SUITE 319|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|APPROVED|06/03/1983|0|0|0|0|0|0
Central Regional Office| 112058|801-58105|ADVISED ASSETS GROUP, LLC|ADVISED ASSETS GROUP, LLC|8515 EAST ORCHARD RD||GREENWOOD VILLAGE CO 80111|USA|||  ||BEVERLY A. BYRNE|(303) 737-3817|Limited Liability Company|Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|11/22/2000|0|12|0|0|0|0
Central Regional Office| 112167|801-56393|GHP FINANCIAL GROUP|GHP HORWATH, P.C.|1670 BROADWAY, STE 3000||DENVER CO 80202|USA|||  ||ROBERT HOCHSTADT|303-831-5000|Corporation|Financial planning services, Other|APPROVED|04/30/1999|0|0|0|0|0|0
Central 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
Central 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
Central Regional Office| 112364|801-41021|CORDILLERA ASSET MANAGEMENT|CORDILLERA ASSET MANAGEMENT|1225 17TH ST STE 2575||DENVER CO 80202|USA|||  ||TIMOTHY J MEISINGER|303-572-6897|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/23/1992|0|0|0|0|0|0
Central Regional Office| 112415|801-49621|THOMAS BARRETT & ASSOC. P.C.|THOMAS BARRETT & ASSOC. P.C.|11 POLO CLUB DR||DENVER CO 80209|USA|1600 BROADWAY SUITE 930||DENVER CO 80202|USA|DIANE BARRETT|303.722.5062|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|07/12/1995|0|0|0|0|0|0
Central 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
Central Regional Office| 112504|801-63213|EPLAN ADVISORS, LLC|EPLAN ADVISORS, LLC|518 17TH STREET|SUITE 1350|DENVER CO 80202|USA|700 N. COLORADO BLVD|SUITE 288|DENVER CO 80206|USA|STEVE PERKINS|(303) 223-4345|Limited Liability Company|Pension consulting services|APPROVED|06/29/2004|0|0|0|0|0|0
Central Regional Office| 112528|801-60282|TRIBUTARY CAPITAL MANAGEMENT, LLC|TRIBUTARY CAPITAL MANAGEMENT, LLC|215 WEST OAK STREET, SUITE 201||FORT COLLINS CO 80521|USA|||  ||DAVID C. JORDAN, CFA|979-495-1291|Limited Liability Company|Portfolio 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
Central Regional Office| 112538|801-62722|FALCO FINANCIAL SERVICES, INC.|FALCO FINANCIAL SERVICES, INC.|1110 CIRCLE DRIVE|SUITE 300|SCOTTSBLUFF NE 69361|USA|||  ||PATRICK S. JOLLIFFE|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, Selection of other advisers|APPROVED|01/30/2004|0|0|0|0|0|0
Central Regional Office| 112558|801-42266|INVESTMENT MANAGEMENT CONSULTANTS, LTD.|INVESTMENT MANAGEMENT CONSULTANTS, LTD.|2505 W. ALAMO AVENUE||LITTLETON CO 80120|USA|||  ||RICHARD|303-707-0360|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|09/03/1992|0|0|0|0|0|0
Central Regional Office| 112603|801-61624|KUMMER FINANCIAL STRATEGIES, INC.|KUMMER FINANCIAL STRATEGIES, INC.|66 W. SPRINGER DR #311||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
Central Regional Office| 112732|801-60893|BRADDOCK FINANCIAL CORP.|BRADDOCK FINANCIAL CORP.|1200 17TH STREET|SUITE 880|DENVER CO 80202|USA|||  ||DAVID A. KAPLAN|303-308-6405|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2002|0|0|0|0|0|0
Central Regional Office| 112743|801-65817|DIVERSIFIED ASSET MANAGEMENT, INC.|DIVERSIFIED ASSET MANAGEMENT, INC.|1113 SPRUCE ST|SUITE 503|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
Central 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
Central 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
Central Regional Office| 112935|801-56236|TRACS FINANCIAL LLC|TRACS FINANCIAL LLC|835 WOODSIDE AVENUE||PARK CITY UT 84060|USA|P.O. BOX 1321||PARK CITY UT 84060|USA|JEFF FLYNN|435-649-8277|Limited Liability Company|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
Central 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
Central 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
Central Regional Office| 113216|801-56204|SARGENT BICKHAM LAGUDIS|BOULDER WEALTH MANAGEMENT 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
Central Regional Office| 113262|801-61810|MAURER & ASSOCIATES CAPITAL MANAGEMENT, INC.|MAURER & ASSOCIATES CAPITAL MANAGEMENT, INC.|5123 EAST PRINCETON||ENGLEWOOD CO 80113|USA|P.O. BOX 370430||DENVER CO 80237-0430|USA|ROGER D. MAURER|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
Central Regional Office| 113319|801-61164|DWMC II, L.L.C|DWMC II, L.L.C|15 WEST SOUTH TEMPLE STREET|SUITE 520|SALT LAKE CITY UT 84101|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
Central Regional Office| 113320|801-61165|ZWMC, L.L.C.|ZWMC, L.L.C.|15 WEST SOUTH TEMPLE STREET|SUITE 520|SALT LAKE CITY UT 84101|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
Central Regional Office| 113322|801-61163|WASATCH MANAGEMENT PARTNERS, L.L.C.|WASATCH MANAGEMENT PARTNERS, L.L.C.|15 WEST SOUTH TEMPLE ST.|SUITE 520|SALT LAKE CITY UT 84101|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
Central Regional Office| 113348|801-63874|NATURAL INVESTMENT SERVICES, INC|NATURAL INVESTMENT SERVICES, INC.|15230 BLACK BRIDGE ROAD||PAONIA CO 81428|USA|P.O. BOX 747||PAONIA CO 81428|USA|HAROLD BRILL|970-527-6550|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|02/10/2005|0|0|0|0|0|0
Central Regional Office| 113387|801-63233|FINANCIAL DESIGN & MANAGEMENT, INC.|FINANCIAL DESIGN & MANAGEMENT, INC.|401 W. MOUNTAIN AVENUE|SUITE 100|FORT COLLINS CO 80521|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, Market timing services, Other|APPROVED|06/24/2004|0|0|0|0|0|0
Central 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
Central Regional Office| 113553|801-64030|HOLMES & TURNER FINANCIAL SERVICES, INC.|HOLMES & TURNER FINANCIAL SERVICES, INC.|1512 LARIMER STREET|SUITE 250|DENVER CO 80202|USA|||  ||DAVID J. TURNER|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
Central Regional Office| 113718|801-62772|IDG ADVISORS, LLC|IDG ADVISORS, LLC|6825 EAST TENNESSEE AVE.|SUITE 637|DENVER CO 80224|USA|||  ||MICHELLE A. GRAF|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
Central Regional Office| 113879|801-63838|SERCO INVESTMENTS INC.|SERCO INVESTMENTS INC.|8 FLETCHER COURT|P.O. BOX 5218|BRECKENRIDGE CO 80424|USA|||  ||RAJIV SHARMA|970-453-0493|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
Central 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, Publication of periodicals or newsletters|APPROVED|04/19/2002|0|0|0|0|0|0
Central Regional Office| 114011|801-60868|COLORADO CAPITAL MANAGEMENT|COLORADO CAPITAL MANAGEMENT, INC.|1401 WALNUT ST. SUITE 201||BOULDER CO 80302|USA|||  ||HENRY NICHOLSON|303.444.9300|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/01/2002|0|0|0|0|0|0
Central Regional Office| 114035|801-62180|THE HCM GROUP|THE HCM GROUP, INC|10901 W. 120TH AVE., SUITE 320||BROOMFIELD CO 80021|USA|||  ||SHERRIE PASKO|303-926-9600|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|APPROVED|06/24/2003|0|0|0|0|0|0
Central Regional Office| 114077|801-60461|RELIANCE CAPITAL ADVISORS, INC.|RELIANCE CAPITAL 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
Central Regional Office| 114129|801-53933|SUMMIT CAPITAL MANAGEMENT|SUMMIT CAPITAL MANAGEMENT|124 ALTA DR|PO BOX 456|THAYNE WY 83127|USA|||  ||STEVEN CRITTENDEN|307-883-3597|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/21/1997|0|0|0|0|0|0
Central 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
Central Regional Office| 114371|801-63611|MIDDLETON & MIDDLETON, INC.|MIDDLETON & MIDDLETON, INC.|2618 ASHGROVE STREET||COLORADO SPRINGS CO 80906-3709|USA|||  ||DOUGLAS M. MIDDLETON|719-579-0808|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|11/15/2004|0|0|0|0|0|0
Central Regional Office| 114372|801-63612|DOUGLAS M. MIDDLETON & COMPANY|DOUGLAS M. MIDDLETON & COMPANY|2618 ASHGROVE STREET||COLORADO SPRINGS CO 80906-3709|USA|||  ||DOUGLAS M. MIDDLETON, SR.|719-579-0808|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|11/19/2004|0|0|0|0|0|0
Central Regional Office| 114579|801-64001|TRUHLAR FINANCIAL STRATEGIES, INC.|TRUHLAR FINANCIAL STRATEGIES, INC.|2960 CENTER GREEN COURT|SUITE 100|BOULDER CO 80301|USA|||  ||JOLIE J. WOLF|(303) 444-7161|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|02/25/2005|0|0|0|0|0|0
Central 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
Central Regional Office| 114733|801-64600|CHERRY HILLS INVESTMENT ADVISORS, LLC|CHERRY HILLS INVESTMENT ADVISORS, LLC|26 W. DRY CREEK CIRCLE|SUITE 180|LITTLETON CO 80120|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
Central Regional Office| 114940|801-63370|CORLESS & ASSOCIATES INVESTMENT ADVISORY SERVICES|CORLESS & ASSOCIATES, LLC|158 TIERRA ENCANTADA||CORRALES NM 87048-6806|USA|||  ||DOLORES VALTIERRA|505-890-1099|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/26/2004|0|0|0|0|0|0
Central 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
Central 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
Central 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)|APPROVED|09/06/2001|0|0|0|0|0|0
Central Regional Office| 115207|801-60554|PEAK FINANCIAL ADVISORS|PEAK FINANCIAL ADVISORS, LLC|50 SOUTH STEELE STREET|SUITE 435|DENVER CO 80209|USA|||  ||LORRIE 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
Central Regional Office| 115731|801-62525|ESSENTIAL FINANCIAL PLANNING, INC.|ESSENTIAL FINANCIAL PLANNING, INC.|4800 JUAN TABO NE, SUITE D||ALBUQUERQUE NM 87111|USA|||  ||DONNA SKEELS CYGAN|505-298-1098|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|11/28/2003|0|0|0|0|0|0
Central 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
Central 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, Other|APPROVED|04/24/2002|0|0|0|0|0|0
Central 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
Central Regional Office| 116265|801-60778|MERIDIAN CAPITAL MANAGEMENT, INC.|MERIDIAN CAPITAL 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|APPROVED|12/17/2001|0|0|0|0|0|0
Central Regional Office| 116338|801-60753|AGILE GROUP, LLC|AGILE GROUP, LLC|4909 PEARL EAST CIRCLE|STE. 300|BOULDER CO 80301|USA|||  ||TIM BARNETT|303-440-8910|Limited Liability Company|Selection of other advisers|APPROVED|12/05/2001|0|1|0|0|0|0
Central 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
Central 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|2|1|0|0|0
Central Regional Office| 116578|801-63221|MOUNT YALE ASSET MANAGEMENT, LLC|MOUNT YALE ASSET MANAGEMENT, LLC|1125 17TH STREET|SUITE 1400|DENVER CO 80202|USA|||  ||GREG DAVID ANDERSON|(303)382-2880|Limited Liability Company|Portfolio 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
Central Regional Office| 116966|801-64619|R.O.I.|RONALD OLSON, INC.|351 EAST 140 NORTH||LINDON UT 84042-2004|USA|||  ||RONALD H. 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
Central 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
Central Regional Office| 117871|801-62138|MAXWELL INVESTMENTS, LLC|MAXWELL INVESTMENTS, LLC|5252 NORTH EDGEWOOD DRIVE|SUITE 325|PROVO UT 84604|USA|||  ||DARIN H. MANGUM, ESQ.|801-494-1200X13|Limited Liability Company|Portfolio management for individuals and/or small businesses, Other|APPROVED|06/18/2003|0|1|0|0|0|0
Central 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|APPROVED|01/13/2006|0|0|0|0|0|0
Central Regional Office| 117977|801-65213|KARSTENS INVESTMENT COUNSEL, INC.|KARSTENS INVESTMENT COUNSEL, INC.|1514 S. 182ND CIRCLE||OMAHA NE 68130|USA|||  ||MICHAEL D. KARSTENS|402-697-3604|Corporation|Financial planning services, Portfolio management for 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|01/10/2006|0|0|0|0|0|0
Central Regional Office| 118192|801-61885|COMPREHENSIVE PERSONAL FINANCIAL ADVISORS|CPFA, LLC|303 EAST 17TH AVENUE|SUITE 600|DENVER CO 80203|USA|||  ||RICHARD J. ROGERS|303/318-6690|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
Central 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 investment companies, Other|APPROVED|01/23/2002|0|0|0|0|0|0
Central 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
Central Regional Office| 118874|801-65772|QUIXOTE CAPITAL MANAGEMENT LLC|QUIXOTE CAPITAL MANAGEMENT LLC|5619 DTC PARKWAY|SUITE 100|GREENWOOD VILLAGE CO 80111|USA|||  ||TROY JOHNSON|(303) 796-2970|Limited Liability Company|Portfolio management for investment companies, Other|APPROVED|12/09/2005|0|0|0|0|0|0
Central Regional Office| 119026|801-60882|BAY ISLE FINANCIAL LLC|BAY ISLE FINANCIAL LLC|151 DETROIT STREET||DENVER CO 80206|USA|||  ||DAVID R. KOWALSKI|303-316-5747|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/02/2002|0|5|1|0|0|0
Central Regional Office| 119030|801-64346|CASCADE FINANCIAL MANAGEMENT, INC.|CASCADE FINANCIAL MANAGEMENT, INC.|1512 LARIMER STREET|SUITE 250|DENVER CO 80202|USA|||  ||DAVID TURNER|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
Central Regional Office| 119288|801-60942|BIGELOW & HART CAPITAL MANAGEMENT LLC|BIGELOW & HART CAPITAL MANAGEMENT LLC|50 S. STEELE STREET SUITE 1050||DENVER CO 80209|USA|||  ||ROBERT H. ARMSTRONG|303 629-1100 X 1206|Limited Liability Company|Other|APPROVED|02/26/2002|0|0|0|0|0|0
Central Regional Office| 119310|801-62780|WATERS CAPITAL ADVISERS, LLC|WATERS CAPITAL ADVISERS, LLC|44 COOK STREET|SUITE 600|DENVER CO 80206|USA|||  ||JAMES WATERS|303.333.7779|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|02/05/2004|0|0|0|0|0|0
Central Regional Office| 119373|801-63365|THE MUTUAL FUND STORE - OMAHA|TMFS-OMAHA,LLC|4122 SOUTH 144TH STREET||OMAHA NE 68137|USA|||  ||DOUG ERBERT|402-896-6464|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|07/22/2004|0|0|0|0|0|0
Central 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
Central 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), Pension consulting services, Selection of other advisers|APPROVED|06/24/2005|0|0|0|0|0|0
Central Regional Office| 120270|801-61122|CURIAN CAPITAL, LLC|CURIAN CAPITAL, LLC|8055 E. TUFTS AVENUE, 10TH FLOOR||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|9|0|0|0|0
Central Regional Office| 120894|801-62331|GENEOS WEALTH MANAGEMENT, INC.|GENEOS WEALTH MANAGEMENT, INC.|4700 SOUTH SYRACUSE PARKWAY|SUITE 1000|DENVER CO 80237|USA|||  ||KIM HALKETT|303-785-8470 X123|Corporation|Financial planning services, Portfolio management for 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|0|0|0|0|0
Central Regional Office| 121059|801-62974|GERONIMO PARTNERS ASSET MANAGEMENT, LLC|GERONIMO PARTNERS 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
Central 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
Central 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
Central 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
Central 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
Central 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), Pension consulting services, Publication of periodicals or newsletters|APPROVED|06/05/2003|0|0|0|0|0|0
Central Regional Office| 124089|801-61678|WILSON FIDUCIARY MANAGEMENT CORP.|WILSON FIDUCIARY MANAGEMENT CORP.|2120 CAREY AVENUE|SUITE 307|CHEYENNE WY 82001|USA|||  ||RONALD W. KAROLYI|336-733-2777|Corporation|Selection of other advisers, Other|APPROVED|01/23/2003|0|5|0|0|0|0
Central Regional Office| 124247|801-62051|ONE WORLD AMS, LLC|ONE WORLD ASSET MANAGEMENT SOLUTIONS, LLC|110 EAST 17TH STREET|SUITE 100|CHEYENNE WY 82001|USA|PO BOX 1023||CHEYENNE WY 82003|USA|DAVID POPE|307-638-3170|Limited Liability Company|Financial planning services, Portfolio management for 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
Central Regional Office| 124273|801-61650|ROCK CANYON ADVISORY GROUP, INC.|ROCK CANYON ADVISORY GROUP, INC.|1384 WEST STATE ROAD||PLEASANT GROVE UT 84062|USA|||  ||JONATHAN FERRELL|801-785-8848|Corporation|Portfolio management for investment companies|APPROVED|12/10/2002|0|0|0|0|0|0
Central Regional Office| 124760|801-61778|WEST RIM CAPITAL, LLC|WEST RIM CAPITAL, LLC|3098 W. EXECUTIVE PARKWAY|SUITE 200|LEHI UT 84043|USA|||  ||DONNA TILLERY|801-407-8407|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/07/2003|0|0|0|0|0|0
Central 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|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/07/2003|0|0|0|0|0|0
Central 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|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/03/2003|0|0|0|0|0|0
Central 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
Central 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
Central 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
Central Regional Office| 125181|801-62250|MCCARTHY CAPITAL CORPORATION|MCCARTHY CAPITAL CORPORATION|1601 DODGE ST|SUITE 3800|OMAHA NE 68102|USA|||  ||MICHAEL R. MCCARTHY|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
Central Regional Office| 125886|801-62589|RCG CAPITAL ADVISORS, LLC|RCG CAPITAL ADVISORS, LLC|1113 SPRUCE STREET||BOULDER CO 80302|USA|||  ||KENNETH S PHILLIPS|303-444-9944|Limited Liability Company|Other|APPROVED|01/16/2004|0|1|0|0|0|0
Central 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|||  ||RITA KOCH DAY|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
Central Regional Office| 125986|801-65128|NIGHTWATCH CAPITAL ADVISORS, LLC|NIGHTWATCH CAPITAL ADVISORS, LLC|3311 NORTH UNIVERSITY AVENUE|SUITE 200|PROVO UT 84604-7421|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
Central Regional Office| 126496|801-63139|LAZARUS MANAGEMENT COMPANY LLC|LAZARUS MANAGEMENT COMPANY LLC|2401 EAST SECOND AVENUE,|SUITE 400|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
Central 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|APPROVED|04/25/2003|0|0|0|0|0|0
Central Regional Office| 126906|801-62304|HANSEATIC MANAGEMENT, INC.|HANSEATIC MANAGEMENT, INC.|5600 WYOMING NE|SUITE 220|ALBUQUERQUE NM 87109|USA|||  ||BRIAN STANGEL|505 828 2824 X13|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Market timing services|APPROVED|08/28/2003|0|0|0|0|0|0
Central Regional Office| 126973|801-62045|THE VERNALIS GROUP, LLC|THE VERNALIS GROUP, LLC|205 E CHEYENNE MOUTAIN BLVD||COLORADO SPRINGS CO 80906|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
Central 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
Central Regional Office| 127066|801-62222|PERSONAL BENEFIT SERVICES OF COLORADO, INC.|PERSONAL BENEFIT SERVICES OF COLORADO, INC.|4875 WARD RD|STE 100|WHEAT RIDGE CO 80033|USA|||  ||SHARON EVANS|303-424-2100|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/29/2003|0|0|0|0|0|0
Central Regional Office| 127396|801-62248|MOUNT YALE PORTFOLIO ADVISORS, LLC|MOUNT YALE PORTFOLIO ADVISORS, LLC|1125 17TH STREET SUITE 1400||DENVER CO 80202|USA|||  ||ROGER C. BOWDEN|(303)382-2880|Limited Liability Company|Pension consulting services, Other|APPROVED|08/01/2003|0|0|0|0|0|0
Central Regional Office| 127402|801-62196|THREE PEAKS CAPITAL MANAGEMENT, LLC|THREE PEAKS CAPITAL MANAGEMENT, LLC|5619 DTC PARKWAY|SUITE 1000|GREENWOOD VILLAGE CO 80111|USA|||  ||MARY COOPER|(303) 221-9480|Limited Liability Company|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
Central Regional Office| 127666|801-64035|PORTFOLIO SOLUTIONS, INC.|PORTFOLIO SOLUTIONS, INC.|2100 KOHLER DRIVE||BOULDER CO 80305|USA|2100 KHOLER 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
Central 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
Central 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
Central 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 businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/21/2003|0|0|0|0|0|0
Central 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|||  ||STEVE LOCOCO|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
Central Regional Office| 128090|801-62576|SECTORQUANT CAPITAL MANAGMENT, LLC|SECTORQUANT CAPITAL MANAGMENT, LLC|1660 LINCOLN STREET|SUITE 100|DENVER CO 80264|USA|||  ||RICHARD E. BORNHOFT|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
Central Regional Office| 128186|801-62629|AARDVARK CAPITAL|AARDVARK CAPITAL ADVISORS LLC|970 WEST BROADWAY|#433|JACKSON WY 83001|USA|||  ||BRYAN WANG|408-379-8425|Limited Liability Company|Selection of other advisers, Other|APPROVED|01/02/2004|0|0|0|0|0|0
Central Regional Office| 128442|801-64536|PALM ADVISORS, LLC|PALM ADVISORS, LLC|50 SOUTH STEELE|STE 1050|DENVER CO 80209|USA|||  ||DEREK RICHARDS|303-467-8002|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
Central Regional Office| 128638|801-62488|MYFINANCIALADVICE, INC.|MYFINANCIALADVICE, INC.|2906 UMATILLA STREET||DENVER CO 80211|USA|||  ||KEVIN P. CONDON|(303) 395.3355|Corporation|Selection of other advisers, Other|APPROVED|11/05/2003|0|0|0|0|0|0
Central Regional Office| 128667|801-62453|DIVIDEND CAPITAL INVESTMENTS LLC|DIVIDEND CAPITAL INVESTMENTS LLC|518 17TH STREET|12TH FLOOR|DENVER CO 80202|USA|||  ||JEFF TAYLOR|303-228-2200|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/07/2003|0|0|0|0|0|0
Central Regional Office| 128885|801-62514|CT FIXED INCOME MANAGEMENT, LLC|CT FIXED INCOME MANAGEMENT, LLC|802 WEST BROADWAY|P.O. BOX 4741|JACKSON WY 83001|USA|||  ||COURTNEY TOZZI FINNEGAN|415-384-0473|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/20/2003|0|0|0|0|0|0
Central 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
Central 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|||  ||COURTNEY TOZZI FINNEGAN|415-384-0473|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/12/2004|0|0|0|0|0|0
Central Regional Office| 129015|801-64153|CHRISTENSEN ASSOCIATES, P.C.|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|APPROVED|04/21/2005|0|0|0|0|0|0
Central 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, Pension consulting services, Selection of other advisers|APPROVED|04/21/2005|0|0|0|0|0|0
Central Regional Office| 129764|801-62732|EVERGREEN CAPITAL MANAGEMENT, INC.|EVERGREEN CAPITAL MANAGEMENT, INC.|5505 SOUTH 900 EAST, SUITE 325|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
Central 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
Central Regional Office| 130097|801-63531|QUANTITATIVE EQUITY STRATEGIES, LLC|QUANTITATIVE EQUITY STRATEGIES, LLC|640 PLAZA DRIVE|SUITE #340|HIGHLANDS RANCH CO 80129-2399|USA|||  ||CHADWICK T. LEAVITT|303.471.0277|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Selection of other advisers, Other|APPROVED|09/27/2004|0|0|0|0|0|0
Central Regional Office| 130344|801-64885|MADISON STREET PARTNERS, LLC|MADISON STREET PARTNERS, LLC|8480 E. ORCHARD ROAD,|SUITE 3100|GREENWOOD VILLAGE CO 80111|USA|||  ||DREW M. HAYWORTH|720-488-0992|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
Central 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
Central Regional Office| 130530|801-62863|EMPIRE INVESTOR CONSULTING AND SERVICES|HARMON INVESTMENT GROUP LLC|708 S BAHNSON||SIOUX FALLS SD 57103|USA|||  ||JACEY HARMON|605-332-3485|Limited Liability Company|Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters, Security ratings or pricing services, Market timing services|APPROVED|03/12/2004|0|0|0|0|0|0
Central Regional Office| 130589|801-62807|ATLAS MANAGEMENT PARTNERS, LLC|ATLAS MANAGEMENT PARTNERS, LLC|ONE SOUTH MAIN STREET,|SUITE 1660|SALT LAKE CITY UT 84133|USA|||  ||KENT MADSEN|801-524-8939|Limited Liability Company|Portfolio management for investment companies|APPROVED|02/17/2004|0|0|0|0|0|0
Central 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
Central 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
Central 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
Central Regional Office| 131435|801-63095|RIKOON CARRET|RIKOON CARRET WEALTH MANAGEMENT GROUP, LLC|510 DON GASPAR||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|APPROVED|05/12/2004|0|1|0|0|0|0
Central Regional Office| 131670|801-66358|THE WILLIS GROUP|THE WILLIS GROUP, INC.|128 SOUTH TEJON STREET|SUITE 150|COLORADO SPRINGS CO 80903|USA|||  ||RYAN M. HICKEY|719-884-7500|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies|APPROVED|03/09/2006|0|0|0|0|0|0
Central 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
Central Regional Office| 132125|801-63422|MERIDIAN ASSET MANAGEMENT|MERIDIAN ASSET MANAGEMENT LLC|4525 S. WASATCH BLVD|SUITE 250|SALT LAKE CITY UT 84124|USA|||  ||CHRIS DORST|801-269-6704|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|0|0|0|0|0
Central 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
Central Regional Office| 132293|801-63502|PRAESIDEO MANAGEMENT, LLC|PRAESIDEO MANAGEMENT, LLC|ONE PRAESIDEO PLACE|1590 WEST PARK CIRCLE|OGDEN UT 84404|USA|||  ||MICHAEL LOUGHTON|801-866-0515|Limited Liability Company|Other|APPROVED|09/15/2004|0|0|0|0|0|0
Central Regional Office| 132354|801-63429|ADVEST TRUST|FRONTIER TRUST COMPANY, FSB|1126 WESTRAC DRIVE||FARGO ND 58103|USA|P.O. BOX 10699||FARGO ND 58106-0699|USA|ANDIE HENSLER|701-271-3459|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|07/08/2004|0|0|0|0|0|0
Central 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
Central 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
Central 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
Central 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|0|0|0|0|0
Central 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 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
Central 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
Central Regional Office| 132979|801-63735|ALPINE CAPITAL MANAGEMENT, LLC|ALPINE CAPITAL MANAGEMENT, LLC|100 WEST CANYON CREST ROAD|SUITE 200|ALPINE UT 84004-1818|USA|||  ||R. STEVEN FARRELL|(925) 855-9899|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|12/01/2004|0|0|0|0|0|0
Central Regional Office| 133466|801-63727|MMA REALTY CAPITAL, INC.|MMA REALTY CAPITAL, INC.|10475 PARK MEADOWS DRIVE|SUITE 500|LITTLETON CO 80124|USA|||  ||DAVID R. BOLT|(303) 325-1050|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/03/2005|0|0|0|0|0|0
Central Regional Office| 133944|801-63855|ARAPAHO ASSET MANAGEMENT LLC|ARAPAHO ASSET MANAGEMENT LLC|160 HIGHWAY 6 STE 200||SILVERTHORNE CO 80497|USA|PO BOX 25689|160 US HIGHWAY 6  SUITE 200|SILVERTHORNE CO 80497|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
Central 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
Central Regional Office| 134314|801-63935|FIRST WESTERN MERGER CORPORATION|FIRST WESTERN MERGER CORPORATION|1200 17TH ST.|SUITE 2650|DENVER CO 80202|USA|||  ||KAREN GARCIA|303-531-8121|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|02/15/2005|0|0|0|0|0|0
Central 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
Central Regional Office| 135407|801-64291|G2 FINANCIAL GROUP, LLC|G2 FINANCIAL GROUP, LLC|22 E. 100 SOUTH|4TH FLOOR|SALT LAKE CITY UT 84111|USA|||  ||AARON B. GRAHAM|480-951-0800|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-120|05/18/2005|0|0|0|0|0|0
Central Regional Office| 135574|801-64388|PROPOLIS CAPITAL MANAGEMENT|PROPOLIS CAPITAL MANAGEMENT, LLC|1205 HILLTOP PKWY.||STEAMBOAT SPRINGS CO 80487|USA|||  ||STEVEN P. SOUTHWORTH|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
Central 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, Selection of other advisers, Other|APPROVED|02/15/2006|0|0|0|0|0|0
Central Regional Office| 135808|801-64378|WIND RIVER ADVISORS, L.L.C.|WIND RIVER ADVISORS, L.L.C.|2169 WILSON AVENUE||SALT LAKE CITY UT 84108-3058|USA|||  ||JOHN R. WAGNER|801-910-8502|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|06/23/2005|0|0|0|0|0|0
Central 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
Central 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
Central 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|719-481-4502|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
Central Regional Office| 136430|801-64530|INTEGRITY FINANCIAL CONSULTANTS, LLC|INTEGRITY FINANCIAL CONSULTANTS, LLC|211 RIVER ROAD||DAYTON WY 82836|USA|PO BOX 306||DAYTON WY 82836|USA|LIBBY SCHMAUS|307-751-6682|Limited Liability Company|Financial planning services, Selection of other advisers|APPROVED|07/29/2005|0|0|0|0|0|0
Central Regional Office| 136568|801-64651|INVESTMENT SECURITY GROUP, INC.|INVESTMENT SECURITY GROUP, INC.|4900 S. MONACO ST. STE 300||DENVER CO 80237|USA|||  ||JEANNIE LYNN|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
Central 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
Central Regional Office| 136773|801-64852|SCHUMANN CAPITAL INC.|SCHUMANN CAPITAL INC.|19 EAST 200 SOUTH|#1000|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
Central Regional Office| 136786|801-65112|SLN INVESTMENTS, LLC|SLN INVESTMENTS, LLC|155 E. BOARDWALK DRIVE|SUITE 400|FORT COLLINS CO 80525|USA|||  ||SPENCER NAUMAN|970-232-3080|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
Central 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 SABRE|952-897-5395|Limited Liability Company|Pension consulting services, Other|APPROVED|01/03/2006|0|0|0|0|0|0
Central 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|Portfolio management for individuals and/or small businesses|APPROVED|02/17/2006|0|0|0|0|0|0
Central Regional Office| 137236|801-64771|YELLOWSTONE PARTNERS|YELLOWSTONE PARTNERS LLC|104 SOUTH WOLCOTT STE. 740||CASPER WY 82601|USA|||  ||DAVID HANSEN|208-542-1233|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
Central Regional Office| 137382|801-64825|LEWISTON CAPITAL PARTNERS, LLC|LEWISTON CAPITAL PARTNERS, LLC|275 E. COLLEGE DR||DURANGO CO 81301|USA|||  ||JAMES PRITCHARD|970-247-9098|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|11/18/2005|0|0|0|0|0|0
Central Regional Office| 137554|801-65459|WOODBOURNE MANAGEMENT INTERNATIONAL LP|WOODBOURNE MANAGEMENT INTERNATIONAL LP|1919 14TH STREET|SUITE 300|BOULDER CO 80302|USA|||  ||JOHN G. HARDING|303-544-1290|Other (specify)|Other|APPROVED|02/01/2006|0|0|0|0|0|0
Central Regional Office| 137572|801-65460|WOODBOURNE INVESTMENT MANAGEMENT LLC|WOODBOURNE INVESTMENT MANAGEMENT LLC|1919 14TH STREET|SUITE 300|BOULDER CO 80302|USA|||  ||JOHN G. HARDING|(303) 544-1290|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
Central 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
Central 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
Central 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 C. 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
Central Regional Office| 137896|801-66032|MCA SERVICES, LLC|MADISON CAPITAL ADVISORS, LLC|6143 SOUTH WILLOW DRIVE, SUITE 200||GREENWOOD VILLAGE CO 80111|USA|||  ||RICHARD A. GROVE|303-957-2050|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/2006|0|0|0|0|0|0
Central 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-120|01/30/2006|0|0|0|0|0|0
Central Regional Office| 138259|801-65908|ALKON FINANCIAL|ALKON FINANCIAL, LLC|3904 CENTRAL AVENUE|SUITE A106|CHEYENNE WY 82001|USA|237 SUSSEX DR||MANHASSET NY 11030|USA|ANDREW ALKON|8889925566|Limited 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|02/02/2006|0|0|0|0|0|0
Central Regional Office| 138472|801-65035|CASTLE PEAK CAPITAL, LLC|CASTLE PEAK CAPITAL, LLC|6013 S. PEARL STREET||CENTENNIAL CO 80121|USA|||  ||KEVIN D. ANDRUS|(303) 638-1630|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|01/03/2006|0|0|0|0|0|0
Central 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|307-733-0674|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/12/2006|0|0|0|0|0|0
Central Regional Office| 138660|801-65887|VALUED INVESTMENT PARTNERS, LLC|VALUED INVESTMENT PARTNERS, LLC|1777 S. HARRISON ST #620||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
Central 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)|APPROVED-120|01/27/2006|0|0|0|0|0|0
Central Regional Office| 138836|801-65162|FLEET CAPITAL MANAGEMENT, LLC|FLEET CAPITAL MANAGEMENT, LLC|6312 S. FIDDLER'S GREEN CIRCLE|SUITE 340 EAST|GREENWOOD VILLAGE CO 80111|USA|||  ||BRUCE FLEET|303-669-1802|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|01/31/2006|0|1|0|0|0|0
Central Regional Office| 138897|801-65933|HANEMAN ANTHONY, LTD.|HANEMAN ANTHONY, LTD.|8134 ISLANDER COURT||FORT COLLINS CO 80528|USA|POST OFFICE BOX 270397||FORT COLLINS CO 80527-0397|USA|THOMAS H. SHANLEY|970-226-3041|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-120|02/01/2006|0|0|0|0|0|0
Central Regional Office| 139507|801-66296|WASATCH NEW MEXICO MANAGEMENT PARTNERS, LLC|WASATCH NEW MEXICO MANAGEMENT PARTNERS, LLC|15 WEST SOUTH TEMPLE|SUITE 520|SALT LAKE CITY UT 84101|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
Fort Worth District 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|Portfolio 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 District 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, Other|APPROVED|01/15/1982|0|17|2|0|0|0
Fort Worth District Office|   3496|801-15510|STEPHENS INC.|STEPHENS INC.|111 CENTER ST||LITTLE ROCK AR 72201|USA|||  ||PATRICIA P. VANCE|501-377-2222|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|09/19/1980|0|15|2|0|0|0
Fort Worth District 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 District Office|   5475|801-34462|USAA INVESTMENT MANAGEMENT COMPANY|USAA INVESTMENT MANAGEMENT COMPANY|9800 FREDERICKSBURG ROAD||SAN ANTONIO TX 78288-0227|USA|||  ||SMILEY, EILEEN M.|210-498-4103|Corporation|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 District Office|   6220|801-55529|SOUTHWEST SECURITIES, INC.|SOUTHWEST SECURITIES, INC.|1201 ELM STREET, SUITE 3500||DALLAS TX 75270|USA|||  ||PHYLLIS KNOWLES|214-859-1005|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|06/10/1998|0|24|0|0|0|0
Fort Worth District Office|   6439|801-61424|FINANCIAL COUNSELING CORPORATION|FINANCIAL COUNSELING CORPORATION|5950 BERKSHIRE LANE|SUITE 1060|DALLAS TX 75225|USA|||  ||CHARLES M. BEST|214-750-4400|Corporation|Selection of other advisers, Other|APPROVED|08/28/2002|0|0|0|0|0|0
Fort Worth District Office|   6657|801-64943|CARDINAL INVESTMENT COMPANY, INC.|CARDINAL INVESTMENT COMPANY, INC.|500 CRESCENT COURT|SUITE 250|DALLAS TX 75201|USA|||  ||DEBBIE CRADY|214-871-6809|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/14/2005|0|1|0|0|0|0
Fort Worth District Office|   7036|801-60271|GOLD CAPITAL MANAGEMENT INC.|GOLD CAPITAL MANAGEMENT INC.|6860 W. 115TH STE 100||OVERLAND PARK KS 66211|USA|||  ||PAM KASPER|913-319-5808|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/30/2001|0|2|0|0|0|0
Fort Worth District Office|   7369|801-66108|A I M  DISTRIBUTORS, INC.|A I M  DISTRIBUTORS, INC.|11 GREENWAY PLAZA|SUITE 100|HOUSTON TX 77046-1173|USA|||  ||REBECCA STARLING-KLATT|713-214-4516|Corporation|Other|APPROVED|02/13/2006|4|10|1|0|0|0
Fort Worth District 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, Selection of other advisers|APPROVED|02/01/2006|0|11|0|0|0|1
Fort Worth District Office|  13626|801-56474|AMERICAN GENERAL SECURITIES INCORPORATED|AMERICAN GENERAL SECURITIES INCORPORATED|2727 ALLEN PARKWAY, SUITE 290||HOUSTON TX 77019|USA|||  ||GENE R. NUTT|713-831-8369|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|04/26/1999|0|6|2|0|0|0
Fort Worth District Office|  14503|801-61672|THE MASTERS|VSR FINANCIAL SERVICES, INC.|8620 W. 110TH STREET|SUITE 200|OVERLAND PARK KS 66210|USA|||  ||NORMAJEAN KEIP|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), Selection of other advisers|APPROVED|01/23/2003|0|8|0|0|0|0
Fort Worth District 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|2|0|0|0|0
Fort Worth District 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 District Office|  17530|801-53600|BOSC INC.|BOSC INC.|ONE WILLIAMS CENTER|9 NE|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 District Office|  17587|801-60812|SWS FINANCIAL SERVICES|SWS FINANCIAL SERVICES|1201 ELM STREET|SUITE 3500|DALLAS TX 75270|USA|||  ||DONNA AVANT|214-859-1077|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|4|0|0|0|0
Fort Worth District 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 District Office|  18389|801-63277|MADDEN ASSET MANAGEMENT|MADDEN SECURITIES CORPORATION|1901 N. AKARD STREET||DALLAS TX 75201-2305|USA|||  ||ANNE RUSH|214-855-5335|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|06/24/2004|0|0|0|0|0|0
Fort Worth District Office|  18484|801-34304|BELMONT ASSET MANAGEMENT|BELMONT ASSET MANAGEMENT, INC.|2911 TURTLE CREEK BLVD., STE 550||DALLAS TX 75219-6245|USA|||  ||TIMOTHY C. WHEELER|214-559-9790|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|05/12/1989|0|0|0|0|0|0
Fort Worth District Office|  19299|801-61971|ESTRADA HINOJOSA & COMPANY, INC.|ESTRADA HINOJOSA & COMPANY, INC.|1717 MAIN ST.,|SUITE 4760|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 District Office|  20291|801-36967|INSTITUTIONAL SECURITIES CORPORATION|INSTITUTIONAL SECURITIES CORPORATION|2800 OAK LAWN AVENUE||DALLAS TX 75219|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 District 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 District 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
Fort Worth District Office|  29807|801-61022|COUNTRY CLUB FINANCIAL SERVICES, INC.|COUNTRY CLUB FINANCIAL SERVICES, INC.|9400 MISSION ROAD||PRAIRIE VILLAGE KS 66206|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
Fort Worth District Office|  36705|801-65588|TEJAS SECURITIES GROUP, INC.|TEJAS SECURITIES GROUP, INC.|8226 BEE CAVES ROAD||AUSTIN TX 78746|USA|||  ||MICHAEL CUCKLER|512-306-8222|Corporation|Other|APPROVED-120|01/27/2006|0|13|1|0|0|0
Fort Worth District Office|  36956|801-50510|ST. BERNARD FINANCIAL SERVICES, INC.|ST. BERNARD FINANCIAL SERVICES, INC.|220 W. MAIN STREET|SUITE 200|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|0|0|0|0|0
Fort Worth District Office|  37503|801-60828|GURUN, INC.|GURUN, INC.|4925 GREENVILLE AVENUE SUITE 990||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 District Office|  39285|801-50374|STANFORD GROUP COMPANY|STANFORD GROUP COMPANY|5051 WESTHEIMER||HOUSTON TX 77056|USA|5050 WESTHEIMER||HOUSTON TX 77056|USA|KOZICH, JANET COLLEEN|713-964-8369|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)|APPROVED|10/17/1995|0|0|0|0|0|0
Fort Worth District Office|  40418|801-63700|RIVERSTONE WEALTH MANAGEMENT, INC.|RIVERSTONE WEALTH MANAGEMENT|7801 CAPITAL OF TEXAS HWY|SUITE 310|AUSTIN TX 78731|USA|||  ||LANCE HUNTLEY|512/476-5554|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|03/14/2005|0|0|0|0|0|0
Fort Worth District Office|  42046|801-56126|NFP SECURITIES, INC.|NFP SECURITIES, INC.|1250 CAPITAL OF TEXAS HIGHWAY S.|2-125|AUSTIN TX 78746|USA|||  ||BRIAN C. PROPES|512-697-6500|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|12/31/1998|0|4|0|0|0|0
Fort Worth District Office|  42057|801-63738|ARVEST ASSET MANAGEMENT|ARVEST INVESTMENTS, INC.|201  W. WALNUT|P. O. BOX 5050|ROGERS AR 72757-5050|USA|201  W. WALNUT|P. O. BOX 5050|ROGERS AR 72757-5050|USA|REX WOLSTENHOLM|479-621-1760|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|01/03/2005|0|3|0|0|0|0
Fort Worth District Office|  42232|801-52280|KHAN INVESTMENT INC.|KHAN INVESTMENT INC.|714 FM 1960 WEST|SUITE 201|HOUSTON TX 77090|USA|||  ||FAISAL KHAN|281-444-7657|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|07/22/1996|0|0|0|0|0|0
Fort Worth District Office|  42803|801-54952|VALIC FINANCIAL ADVISORS, INC.|VALIC FINANCIAL 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|9|0|0|0|0
Fort Worth District Office|  43502|801-63469|INTRUST BROKERAGE INC.|INTRUST BROKERAGE INC.|105 N MAIN ST|P.O. BOX 1|WICHITA KS 67202|USA|||  ||RODNEY D. PITTS|316-383-1004|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|08/18/2004|0|0|0|0|0|0
Fort Worth District Office|  44970|801-35725|SOUTHWEST CORPORATE INVESTMENT SERVICES|CUSOURCE, LLC|6801 PARKWOOD BOULEVARD||PLANO TX 75024-7198|USA|||  ||FOX, BRUCE MATTHEW|972-861-3150|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 District 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|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|07/10/1998|0|1|0|0|0|0
Fort Worth District Office|  46214|801-56786|NEXT FINANCIAL GROUP, INC.|NEXT FINANCIAL GROUP, INC.|2500 WILCREST|SUITE 620|HOUSTON TX 77042|USA|||  ||KAREN EYSTER|713-789-7122|Corporation|Financial planning 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|08/20/1999|0|0|0|0|0|0
Fort Worth District 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|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/15/2005|0|1|0|0|0|0
Fort Worth District Office|  46604|801-57090|REDSTONE CONSULTING LLC|REDSTONE CONSULTING LLC|109 NORTH POST OAK LANE|SUITE 200|HOUSTON TX 77024|USA|||  ||PHILIP J. PILIBOSIAN|713-266-1899|Limited Liability Company|Selection of other advisers, Other|APPROVED|12/17/1999|0|0|0|0|0|0
Fort Worth District 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), Selection of other advisers|APPROVED|10/21/1992|0|0|0|0|0|0
Fort Worth District 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 District 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|||  ||PRINGLE, ANIKA|972-870-6340|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|09/20/1987|0|8|0|0|0|0
Fort Worth District 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|GIBBONS, CINDY|713-831-4230|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/12/1971|1|5|0|0|0|0
Fort Worth District 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 District Office| 104584|801-56997|BISCAYNE ADVISORS, INC.|BISCAYNE ADVISORS, INC.|2911 TURTLE CREEK BLVD.|SUITE 800|DALLAS TX 75219|USA|||  ||TAYLOR, ELONIA Y|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 District Office| 104592|801-51061|CHILTON CAPITAL MANAGEMENT LP|CHILTON CAPITAL MANAGEMENT LP|1300 POST OAK BOULEVARD|SUITE 1220|HOUSTON TX 77056|USA|||  ||FLORENCE CARLTON|713-650-1995|Partnership|Portfolio management for individuals and/or small businesses|APPROVED|02/09/1996|0|0|0|0|0|0
Fort Worth District Office| 104643|801-14050|CAPITAL ADVISORS INC|CAPITAL ADVISORS INC|320 S.BOSTON|SUITE 825|TULSA OK 74103|USA|||  ||LORI A. SMITH|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)|APPROVED|09/18/1978|0|1|0|0|0|0
Fort Worth District Office| 104682|801-56599|BRAZOS CAPITAL MANAGEMENT, L.P.|BRAZOS CAPITAL MANAGEMENT, L.P.|5949 SHERRY LANE STE 1600||DALLAS TX 75225|USA|||  ||AWTRY, JAMIE L.|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|0|3|1|0|0|0
Fort Worth District 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 District 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 District 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 District 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|0|0|0|0|0
Fort Worth District Office| 104784|801-17585|KEMPNER CAPITAL MANAGEMENT INC|KEMPNER CAPITAL MANAGEMENT LTD.|2201 MARKET ST|12TH FLOOR|GALVESTON TX 77550|USA|P. O. BOX 119||GALVESTON TX 77553|USA|DONNA GINDRUP|409 765-6671|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/15/1982|0|0|0|0|0|0
Fort Worth District 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 District 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 District 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 District 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
Fort Worth District 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|||  ||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), Pension consulting services|APPROVED|04/17/1985|0|0|0|0|0|0
Fort Worth District Office| 104843|801-62797|PENSION MANAGEMENT CO.|PENSION MANAGEMENT CO.|5075 WESTHEIMER STE 995||HOUSTON TX 77056|USA|||  ||LEE,JOHN|713-552-1880|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/25/2004|0|1|0|0|0|0
Fort Worth District 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 District Office| 104887|801-21203|SELECT GROUP INC|SELECT GROUP INC|1123 LASHBROOK STREET||HOUSTON TX 77077|USA|PMB 137 6524 SAN FELIPE||HOUSTON TX 77057-2611|USA|SORCIC, JOHN A|713-984-8341|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|05/02/1984|0|0|0|0|0|0
Fort Worth District 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 District 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 District Office| 104953|801-27090|ROBERTSON, GRIEGE & THOELE|RGT CAPITAL MANAGEMENT, LTD.|14755 PRESTON ROAD, STE 830||DALLAS TX 75254|USA|||  ||ROBISON, DENISE M|972-858-1100|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 District Office| 104970|801-15509|FINANCIAL SYNERGIES ADVISORY, LTD.|FINANCIAL SYNERGIES ADVISORY, LTD.|1177 W LOOP SOUTH, STE 1400||HOUSTON TX 77027-9086|USA|||  ||REBECCA B. HAAR|713-623-6600|Partnership|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|1|0|0|0|0
Fort Worth District 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), Publication of periodicals or newsletters|APPROVED|04/09/1990|0|0|0|0|0|0
Fort Worth District 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 District Office| 105036|801-17763|CFW CAPITAL MANAGEMENT INCORPORATED|CFW CAPITAL MANAGEMENT INC|1900 WEST 75TH STREET, SUITE 220||PRAIRIE VILLAGE KS 66208|USA|||  ||RANDALL, LISA ANN|913-432-5600|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|10/18/1982|0|1|0|0|0|0
Fort Worth District 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 District Office| 105199|801-30371|WEISBERG & FIELDS INC|WEISBERG & FIELDS INC|8750 NORTH CENTRAL EXPWY|SUITE 1010|DALLAS TX 75231|USA|||  ||KANE, MICHAEL H|214 373-1668|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|09/04/1987|0|0|0|0|0|0
Fort Worth District 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 District Office| 105236|801-21796|WARTON ARCHON FINANCIAL ADVISORS|ARCHON ADVISORY CORP|1751 EAST 71ST STREET||TULSA OK 74136|USA|||  ||ELLIOT J. PAUL, CFP|918-523-1999|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|12/21/1984|0|0|0|0|0|0
Fort Worth District Office| 105237|801-16625|CONCORDE INVESTMENT MANAGEMENT|CONCORDE FINANCIAL CORPORATION|5430 LBJ FREEWAY|SUITE 1500|DALLAS TX 75240-2675|USA|||  ||GREEN, EVELYN R|972-404-1500|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 District 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|0|0|0|0|0
Fort Worth District Office| 105329|801-7098|HERBERT R SMITH INCORPORATED|HERBERT R SMITH INCORPORATED|901 INDIANA AVENUE, SUITE 250||WICHITA FALLS TX 76301|USA|P O BOX 180||WICHITA FALLS TX 76307-0180|USA|SINK, RICHARD T.|940-723-4000|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, Security ratings or pricing services|APPROVED|12/23/1970|0|0|0|0|0|0
Fort Worth District Office| 105335|801-22496|PAUL L. COMSTOCKCO|FIRST ENDOWMENT DEVELOPMENT CORP|2600 SOUTH GESSNER RD|SUITE 411|HOUSTON TX 77063|USA|||  ||MCNEIL, KAREN M|713-554-0483|Corporation|Financial planning services, 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 District Office| 105348|801-18564|CREATIVE PLANNING|CREATIVE PLANNING, INC.|5340 COLLEGE BLVD||OVERLAND PARK KS 66211|USA|||  ||LEONARD CACCHIO|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
Fort Worth District Office| 105349|801-15211|A I M CAPITAL MANAGEMENT, INC|A I M 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|0|12|5|0|0|0
Fort Worth District Office| 105352|801-12313|A I M ADVISORS, INC.|A I M ADVISORS, INC.|11 GREENWAY PLAZA, STE 100||HOUSTON TX 77046-1173|USA|||  ||SPILLANE, TODD L.|713-214-1271|Corporation|Portfolio management for investment companies, Other|APPROVED|11/22/1976|0|12|5|0|0|0
Fort Worth District 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 District 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 District 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)|APPROVED|06/09/1988|0|0|0|0|0|0
Fort Worth District Office| 105477|801-8008|SECURITY MANAGEMENT COMPANY, LLC|SECURITY MANAGEMENT COMPANY, 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
Fort Worth District Office| 105500|801-11574|DEMARCHE ASSOCIATES INC|DEMARCHE ASSOCIATES INC|6320 LAMAR AVE||OVERLAND PARK KS 66202|USA|PO BOX 7027||KANSAS CITY MO 64113|USA|STEPHEN D 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
Fort Worth District 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
Fort Worth District 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 District Office| 105519|801-31237|BARROW HANLEY MEWHINNEY & STRAUSS INC|BARROW HANLEY MEWHINNEY & STRAUSS INC|2200 ROSS AVENUE, 31ST FLOOR||DALLAS TX 75201|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 District 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 District 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 District 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 District 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 District 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 District Office| 105643|801-30106|FINANCIAL SYNERGIES ASSET MANAGEMENT INC|FINANCIAL SYNERGIES ASSET MANAGEMENT INC|1177 W LOOP SOUTH|SUITE 1400|HOUSTON TX 77027-9086|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 District 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|0|0|0|0|0
Fort Worth District Office| 105807|801-16377|SEARCY FINANCIAL SERVICES, INC.|SEARCY FINANCIAL SERVICES, INC.|13220 METCALF AVENUE, STE 360||OVERLAND PARK KS 66213-2806|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), Selection of other advisers|APPROVED|09/24/1981|0|0|0|0|0|0
Fort Worth District 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 District Office| 105843|801-32168|LIGHTHOUSE CAPITAL MANAGEMENT INC|LIGHTHOUSE CAPITAL MANAGEMENT LP|10000 MEMORIAL DRIVE|SUITE 660|HOUSTON TX 77024|USA|||  ||COBB, CHRISTINE M|713-688-6881|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|07/05/1988|0|0|1|0|0|0
Fort Worth District Office| 105898|801-17344|CLAYTON FINANCIAL SERVICES INC|CLAYTON FINANCIAL SERVICES INC|534 S. KANSAS AVENUE, STE 820||TOPEKA KS 66603-3430|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)|APPROVED|07/01/1982|0|0|0|0|0|0
Fort Worth District 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|APPROVED|04/26/1975|0|0|0|0|0|0
Fort Worth District 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 District 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 District 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 District 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|0|0|0|0|0
Fort Worth District Office| 106013|801-17138|SOUTHWEST STRATEGIES|SWS STRATEGIES, L.L.C.|5310 HARVEST HILL ROAD|SUITE 226|DALLAS TX 75230|USA|||  ||EVANS, BARRY L|972-960-6460|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|05/19/1982|0|0|0|0|0|0
Fort Worth District 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 District Office| 106078|801-62597|PENTECOST CAPITAL MANAGEMENT INC|PENTECOST CAPITAL MANAGEMENT INC|1218 EAST 33RD ST||TULSA OK 74105|USA|||  ||CRAIG ANTHONY THOENDEL|918 743 1400|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|12/05/2003|0|0|1|0|0|0
Fort Worth District Office| 106080|801-8231|AMERICAN FIDELITY ASSURANCE CO|AMERICAN FIDELITY ASSURANCE CO|2000 CLASSEN BLVD||OKLAHOMA CITY OK 73106|USA|||  ||RIGLER, PATRICIA|405/523-5483|Corporation|Portfolio management for investment companies|APPROVED|12/14/1971|0|0|0|0|0|0
Fort Worth District 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 District 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 District Office| 106116|801-42406|MONETA INVESTMENT CONSULTING INC|MONETA INVESTMENT CONSULTING INC|15851 N. DALLAS PARKWAY|SUITE 600|ADDISON TX 75001-6016|USA|||  ||EAST, CAROLYN ELIZABETH|214-363-0025|Corporation|Pension consulting services|APPROVED|09/29/1992|0|0|0|0|0|0
Fort Worth District Office| 106148|801-51580|CROSSROADS INVESTMENT COMPANY L.P.|CROSSROADS INVESTMENT COMPANY L.P.|325 NORTH ST. PAUL STREET|SUITE 4850|DALLAS TX 75201|USA|||  ||LEMOND, BEVERLY|(214) 647-9583|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/03/1996|0|0|0|0|0|0
Fort Worth District 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 District 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 District 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 District Office| 106236|801-52937|SAGE ADVISORY SERVICES LTD CO|SAGE ADVISORY SERVICES LTD CO|1250 CAPITAL OF TEXAS HWY|BUILDING I, STE 300|AUSTIN TX 78746|USA|||  ||FIGARO, GREGORY J.|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 District Office| 106247|801-44471|DOLIVER CAPITAL ADVISORS, L.P.|DOLIVER CAPITAL ADVISORS, L.P.|1800 BERING, SUITE 850||HOUSTON TX 77057|USA|||  ||RALPH D. MCBRIDE|713-221-1208|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 District Office| 106281|801-47940|NFJ INVESTMENT GROUP L.P.|NFJ INVESTMENT GROUP L.P.|2121 SAN JACINTO, STE 1840|18TH FLOOR|DALLAS TX 75201|USA|888 SAN CLEMENTE DRIVE|SUITE 100|NEWPORT BEACH CA 92660|UNITED STATES|STEWART A SMITH|(949) 219-2234|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|11/14/1994|0|0|1|0|0|0
Fort Worth District 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|APPROVED|01/05/1994|0|1|0|0|0|0
Fort Worth District 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 District Office| 106316|801-43702|RETIREMENT INVESTMENT ADVISORS INC|RETIREMENT INVESTMENT ADVISORS INC|3001 UNITED FOUNDERS BLVD|SUITE A|OKLAHOMA CITY OK 73112|USA|||  ||FULLER, CHRISTINE|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 District 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|4|2|0|0|0
Fort Worth District Office| 106349|801-52379|RUTLAND DICKSON ASSET MANAGEMENT INC|RUTLAND DICKSON ASSET MANAGEMENT INC|1901 NORTH AKARD STREET||DALLAS TX 75201-2305|USA|||  ||DICKSON, BARBARA GAIL|214-969-7088|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|07/12/1996|0|0|0|0|0|0
Fort Worth District Office| 106352|801-53347|USAA FINANCIAL PLANNING SERVICES|USAA FINANCIAL PLANNING SERVICES INSURANCE AGENCY, INC.|9800 FREDERICKSBURG ROAD||SAN ANTONIO TX 78288|USA|||  ||SMILEY, EILEEN M.|210-498-4103|Corporation|Financial planning services|APPROVED|11/27/1996|0|1|0|0|0|0
Fort Worth District Office| 106507|801-51834|MBM ADVISORS INC|MBM ADVISORS INC|440 LOUISIANA|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, Selection of other advisers|APPROVED|05/07/1996|0|0|0|0|0|0
Fort Worth District 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
Fort Worth District 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 District 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 District 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 District 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 District 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 District 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|||  ||BOOBAR, KATHY STAPLES|972-934-9070|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/19/1990|0|1|0|0|0|0
Fort Worth District Office| 106645|801-63178|CROCKETT & ASSOC|CROCKETT LAWRENCE KEITH|2600 CREEKBEND CIRCLE||SHERMAN TX 75092|USA|||  ||CROCKETT, LAWRENCE KEITH|903 892-0377|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|05/03/2004|0|0|0|0|0|0
Fort Worth District 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 District 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 District Office| 106917|801-34644|MITCHELL GROUP INC|THE MITCHELL GROUP, INC.|1100 LOUISIANA ST|SUITE 1250|HOUSTON TX 77002|USA|||  ||RODNEY MITCHELL|713-759-2070|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/16/1989|0|0|0|0|0|0
Fort Worth District 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 District 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 District 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 District 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|APPROVED|11/28/1995|0|0|0|0|0|0
Fort Worth District Office| 106968|801-38730|RETIREMENT ADVISORS OF AMERICA|RETIREMENT ADVISORS OF AMERICA INC|13155 NOEL ROAD, SUITE 1800|GALLERIA TOWER III|DALLAS TX 75240|USA|||  ||SMITH, CARROLL ANN|972-233-3367|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|04/12/1991|0|2|0|0|0|0
Fort Worth District 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 investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/15/1992|0|0|0|0|0|0
Fort Worth District 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|0|0|0|0|0
Fort Worth District 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 District 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 District Office| 107057|801-23147|SUNFLOWER ASSET MANAGEMENT INC.|SUNFLOWER ASSET MANAGEMENT INC.|13715 W. 109TH STREET|STE 103|LENEXA KS 66215|USA|||  ||KAIN, JOSEPH N|913-642-1017|Corporation|Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|01/17/1985|0|1|1|0|0|0
Fort Worth District 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 District 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
Fort Worth District 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 District 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
Fort Worth District 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|913-345-9889|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
Fort Worth District Office| 107212|801-57971|KOESTEN HIRSCHMANN & CRABTREE, INC.|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|APPROVED|09/26/2000|0|0|0|0|0|0
Fort Worth District Office| 107222|801-29301|CENTRAL PLAINS ADVISORS, INC.|CENTRAL PLAINS ADVISORS, INC.|9415 EAST HARRY, SUITE 201||WICHITA KS 67207|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
Fort Worth District Office| 107238|801-51938|BHCO CAPITAL MANAGEMENT INC|BHCO CAPITAL MANAGEMENT INC|12377 MERIT DR|STE 220|DALLAS TX 75251|USA|||  ||BEAIRD, PAT C|972-503-1040|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|05/20/1996|0|0|0|0|0|0
Fort Worth District 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 District 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|5|2|0|0|0
Fort Worth District Office| 107306|801-53294|EAGLE GLOBAL ADVISORS LLC|EAGLE GLOBAL ADVISORS LLC|5847 SAN FELIPE|SUITE 930|HOUSTON TX 77057|USA|||  ||THOMAS NEY HUNT III|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 District 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|Pension consulting services|APPROVED|12/16/1994|0|1|0|0|0|0
Fort Worth District Office| 107355|801-51988|ADAMS HALL ASSET MANAGEMENT L.L.C.|ADAMS HALL ASSET MANAGEMENT L.L.C.|4111 SOUTH DARLINGTON|SUITE 1000|TULSA OK 74135|USA|||  ||JANA L. SHOULDERS|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), Pension consulting services, Selection of other advisers|APPROVED|05/20/1996|0|0|0|0|0|0
Fort Worth District 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 District Office| 107369|801-43079|HAMILTON LEWIS CAPITAL MANAGEMENT INC|HAMILTON LEWIS CAPITAL MANAGEMENT INC|11111 KATY FREEWAY|SUITE 910|HOUSTON TX 77079|USA|||  ||HAMILTON P. LEWIS II|713-973-5753|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/29/1993|0|0|1|0|0|0
Fort Worth District 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)|APPROVED|12/03/1990|1|0|0|0|0|0
Fort Worth District 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 District 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|0|0|0|0|0
Fort Worth District 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|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|01/14/1997|0|0|0|0|0|0
Fort Worth District Office| 107465|801-27691|PORTFOLIO ADVISORY COUNCIL,L.L.C.|PORTFOLIO ADVISORY COUNCIL, L.L.C.|3 GREENWAY PLAZA, STE. 1960||HOUSTON TX 77046|USA|3 GREENWAY PLAZA, STE. 1700||HOUSTON TX 77046|USA|DANNY BRAND|713.402.3869|Limited Liability Company|Financial 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|1|0|0|0|0
Fort Worth District 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|0|0|0|0
Fort Worth District 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 District Office| 107548|801-44699|STRATEGIC FINANCIAL MANAGEMENT GROUP|STRATEGIC FINANCIAL MANAGEMENT GROUP|5310 HARVEST HILL|SUITE 146, LB 105|DALLAS TX 75230|USA|||  ||GREGORY PAUL MORGAN|972-960-6460|Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/11/1993|0|1|0|0|0|0
Fort Worth District 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|||  ||MICHELLE SPARKS|214/891-8294|Corporation|Portfolio management for investment companies|APPROVED|06/29/1990|0|1|0|0|0|0
Fort Worth District 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 District Office| 107559|801-41058|YACKTMAN ASSET MANAGEMENT CO|YACKTMAN ASSET MANAGEMENT CO|BUILDING ONE, SUITE 320|6300 BRIDGEPOINT PARKWAY|AUSTIN TX 78730|USA|||  ||DONALD A. YACKTMAN|512-767-6700|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|04/08/1992|0|0|0|0|0|0
Fort Worth District 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 District 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 District 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 District Office| 107639|801-38245|TANGLEWOOD CAPITAL MANAGEMENT INC|TANGLEWOOD CAPITAL MANAGEMENT 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 District 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 District 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 District 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 District Office| 107686|801-57636|DIMENSIONS INVESTMENT MANAGEMENT INC|DIMENSIONS INVESTMENT MANAGEMENT INC|8301 E. 21ST N., SUITE 230||WICHITA KS 67206|USA|||  ||DARTY P. DOLE|316-689-8333|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|06/02/2000|0|2|0|0|0|0
Fort Worth District 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
Fort Worth District 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 District 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|||  ||RAMONA BOUGHAN|512 327-7200|Corporation|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 District 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 District 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 District Office| 107894|801-51498|RMG CAPITAL ADVISORS LLC|RMG CAPITAL ADVISORS LLC|17111 PRESTON ROAD|SUITE 140|DALLAS TX 75248|USA|||  ||GARY SHALHOOB|(972) 267-9939|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/11/1996|0|0|0|0|0|0
Fort Worth District 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|0|0|0|0|0
Fort Worth District Office| 107978|801-46741|HOWARD FINANCIAL SERVICES, LTD.|HOWARD FINANCIAL SERVICES, LTD.|8350 MEADOW ROAD, SUITE 281||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 District Office| 107999|801-55489|STEPP & ROTHWELL INC|STEPP & ROTHWELL INC|7300 COLLEGE BOULEVARD|SUITE 150|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
Fort Worth District 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|||  ||JACK REECE HAMILTON|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 District 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, Pension consulting services|APPROVED|04/10/2000|0|0|0|0|0|0
Fort Worth District Office| 108037|801-55942|ASSET SERVICES CO LLC|ASSET SERVICES CO LLC|5101 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 District Office| 108046|801-57097|CORDA INVESTMENT MANAGEMENT|BARNES, BONNER, CASTLES|23 MOTT LANE||HOUSTON TX 77024-7315|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 District Office| 108086|801-57298|PINNACLE INVESTMENT ADVISORS|PINNACLE INVESTMENT ADVISORS 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 District Office| 108122|801-55551|WOODLANDS ASSET MANAGEMENT INC|WOODLANDS ASSET MANAGEMENT INC|10077 GROGANS MILL RD #130||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 District 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 Partnership|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 District Office| 108129|801-57623|ALLBRIGHT FINANCIAL ADVISORS INC|ALLBRIGHT FINANCIAL ADVISORS INC|15150 PRESTON ROAD, SUITE 210||DALLAS TX 75248|USA|||  ||BILL ALLBRIGHT|972 980-4366|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|05/18/2000|0|0|0|0|0|0
Fort Worth District 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 District Office| 108149|801-57618|NATIVE AMERICAN FUND ADVISORS LLC|NATIVE AMERICAN FUND ADVISORS LLC|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 District Office| 108150|801-56931|ASSET PRESERVATION GROUP INC|ASSET PRESERVATION GROUP INC|2350 AIRPORT FRWY|STE 450|BEDFORD TX 76022|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 District Office| 108168|801-55805|PARAGON CAPITAL MANAGEMENT LLC|PARAGON CAPITAL MANAGEMENT LLC|10880 BENSON DRIVE, SUITE 2340||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
Fort Worth District 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 District Office| 108202|801-56775|M.C. DRAPER CAPITAL MANAGEMENT|MONT CLAYTON DRAPER III|12764 BRADFORD CIRCLE||WICHITA KS 67206|USA|P.O. BOX 782375||WICHITA KS 67278|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
Fort Worth District Office| 108203|801-60003|PRITCHARD, HUBBLE & HERR, LLC|PRITCHARD, HUBBLE & HERR, LLC|2805 NORTH DALLAS PARKWAY|SUITE 450|PLANO TX 75093|USA|||  ||TEX B. GRUBBS|469-467-0826|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|01/02/2001|0|0|0|0|0|0
Fort Worth District Office| 108256|801-30781|BUDGE FINANCIAL INC|BUDGE FINANCIAL INC|4925 GREENVILLE AVE|STE 1220|DALLAS TX 75206|USA|||  ||LINDY BULLOCK|214-560-2568|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|01/07/1988|0|0|0|0|0|0
Fort Worth District 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)|Other|APPROVED|09/30/1994|0|0|0|0|0|0
Fort Worth District Office| 108294|801-55411|PROFUTURES CAPITAL MANAGEMENT INC|PROFUTURES CAPITAL 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|0|0|0|0|0
Fort Worth District Office| 108327|801-16128|LATHROP INVESTMENT MANAGEMENT CORP|LATHROP INVESTMENT MANAGEMENT CORP|10 CORPORATE HILL DRIVE|SUITE 225|LITTLE ROCK AR 72205|USA|||  ||RENEE SANDERS|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 District Office| 108344|801-54089|SMH CAPITAL ADVISORS, INC.|SMH CAPITAL ADVISORS, INC.|600 TRAVIS|SUITE 3100|HOUSTON TX 77002|UNITED STATES|||  ||THOMAS J. ANDERSON|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|3|0|0|0|0
Fort Worth District 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|0|0|0|0
Fort Worth District 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
Fort Worth District Office| 108425|801-31075|FIRST AUSTIN CAPITAL MANAMGEMENT INC|FIRST AUSTIN CAPITAL MANAGEMENT INC|6300 BRIDGEPOINT PARKWAY|BUILDING 2, SUITE 105|AUSTIN TX 78730|USA|||  ||RYAN BARDEN|512-328-9321 X3|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 District 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|1|0|0|0|0
Fort Worth District Office| 108529|801-55669|MARTIN CAPITAL ADVISORS, LLP|MARTIN CAPITAL ADVISORS, LLP|1600-A VIRGINIA AVE||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 District Office| 108535|801-57565|STABIL CAPITAL MANAGEMENT, INC.|STABIL CAPITAL MANAGEMENT, INC.|3200 SOUTHWEST FREEWAY|SUITE 1180|HOUSTON TX 77027|USA|3200 SOUTHWEST FREEWAY|STE 1180|HOUSTON TX 77027|USA|ALAN T. MCCLAIN|713-552-9882|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|05/31/2000|0|0|0|0|0|0
Fort Worth District 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 District Office| 108556|801-55425|CRISWELL FINANCIAL GROUP INC|CRISWELL FINANCIAL GROUP INC|100 N. BROADWAY|SUITE 3100|OKLAHOMA OK 73102|USA|||  ||DONALD E. CRISWELL, JR.|405-606-0000|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|04/23/1998|0|0|0|0|0|0
Fort Worth District 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 District Office| 108575|801-57356|OAK RIVER FINANCIAL GROUP, INC.|OAK RIVER FINANCIAL GROUP, INC.|4347 PHELAN BLVD|SUITE 100|BEAUMONT TX 77707|USA|||  ||BOBBIE HEIMAN|409-866-6529|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|03/09/2000|0|0|0|0|0|0
Fort Worth District 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
Fort Worth District 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 District Office| 108599|801-57045|FAMCO|FIDUCIARY ADVISORY & MANAGEMENT CO INC|8350 NORTH CENTRAL EXPRESSWAY, SUITE 725||DALLAS TX 75206|USA|||  ||JOSEPH STEPHEN PENNER|972-392-1232|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|11/29/1999|0|0|0|0|0|0
Fort Worth District 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 District Office| 108624|801-54988|AUSTIN CAPITAL MANAGEMENT LTD|AUSTIN CAPITAL MANAGEMENT LTD|6300 BRIDGEPOINT PARKWAY BLDG 3 STE 310||AUSTIN TX 78730|USA|||  ||ROLAND WIEDERAENDERS|512-476-1185|Partnership|Financial planning services, Other|APPROVED|10/21/1997|0|0|0|0|0|0
Fort Worth District Office| 108641|801-56800|MILLENNIUM CAPITAL ADVISORS LLC|MILLENNIUM CAPITAL ADVISORS LLC|425 WEST CAPITAL|SUITE 3300|LITTLE ROCK AR 72201|USA|||  ||PATRICK D. MILLER|501-374-2076|Limited 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|09/24/1999|0|2|0|0|0|0
Fort Worth District Office| 108704|801-56232|SEAY STEWARDSHIP & INVESTMENT CO.|SEAY STEWARDSHIP & INVESTMENT CO.|4514 COLE AVENUE|SUITE 1225, LB 28|DALLAS TX 75205|USA|||  ||JUDY O'POLKA|214/752-7240|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/09/1999|0|0|0|0|0|0
Fort Worth District 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 District Office| 108770|801-58054|PRESIDIO ASSET MANAGEMENT LLC|PRESIDIO ASSET MANAGEMENT LLC|4414 CENTERVIEW DRIVE|SUITE 226|SAN ANTONIO TX 78228|USA|||  ||CARLOS RESENDEZ|(210) 732-8600|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/24/2000|0|4|0|0|0|0
Fort Worth District 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 District Office| 108820|801-58061|THIRD COAST WEALTH ADVISORS, INC.|THIRD COAST WEALTH ADVISORS, INC.|8133 MESA DRIVE|SUITE 200|AUSTIN TX 78759|USA|||  ||LISA FOX|512-342-2272|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|09/30/2000|0|0|0|0|0|0
Fort Worth District Office| 108886|801-30601|FREDRIC E. RUSSELL INVESTMENT MANAGEMENT CO.|XXEC INC|1924 SOUTH UTICA AVENUE|SUITE 1202|TULSA OK 74104|USA|||  ||MICHAEL J. DOLLARHIDE|918-743-5959|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|09/02/1987|0|0|0|0|0|0
Fort Worth District Office| 108916|801-54982|GOODPASTURE GRAY, INC.|GOODPASTURE GRAY, INC.|2001 KIRBY|SUITE 715|HOUSTON TX 77019|USA|||  ||WILLIAM L. GRAY, JR.|713-522-9554|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|11/07/1997|0|0|0|0|0|0
Fort Worth District 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, Selection of other advisers|APPROVED|04/25/2000|0|0|0|0|0|0
Fort Worth District Office| 109080|801-55455|RICHARD P. SLAUGHTER ASSOCIATES, INC.|SLAUGHTER RICHARD P ASSOCIATES INC|9606 N. MO PAC EXPY.|SUITE 550|AUSTIN TX 78759|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 District Office| 109118|801-55519|A. MILLER INVESTMENT ADVISORS, L.P.|A. MILLER INVESTMENT ADVISORS, L.P.|1100 LOUISIANA STREET|SUITE 5075|HOUSTON TX 77002-5232|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 District 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|0|0|0|0|0
Fort Worth District Office| 109121|801-57022|BUTLER FREEMAN TALLY FINANCIAL GROUP|BUTLER FREEMAN TALLY FINANCIAL GROUP|2312 SCHOOL LN||BEDFORD TX 76021|USA|||  ||BUDDY BUTLER|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|0|0|0|0|0
Fort Worth District 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 District 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 District Office| 109238|801-57511|THE MUTUAL FUND STORE|THE MUTUAL FUND STORE, KANSAS CITY, LLC|11095 METCALF AVENUE||OVERLAND PARK KS 66210|USA|||  ||ADAM STUART BOLD|913.338.2323|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
Fort Worth District Office| 109248|801-56278|FRISHBERG JORDAN & STEWART ADVISORS|FRISHBERG DANIEL FINANCIAL SERVICES INC|8023 VANTAGE DRIVE|SUITE 960|SAN ANTONIO TX 78230|USA|||  ||KARL EGGERSS|(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, Market timing services|APPROVED|02/25/1999|0|1|2|0|0|0
Fort Worth District Office| 109264|801-57934|AIM PRIVATE ASSET MANAGEMENT|AIM PRIVATE ASSET MANAGEMENT, INC.|11 GREENWAY PLAZA|SUITE 100|HOUSTON TX 77046|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 District Office| 109310|801-57598|MERIT ENERGY COMPANY|MERIT ENERGY CO|13727 NOEL ROAD|STE 500|DALLAS TX 75240|USA|||  ||GAYDEN CARR|972.628.1520|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/01/2000|0|0|0|0|0|0
Fort Worth District 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 District 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, Other|APPROVED|01/14/2000|0|0|0|0|0|0
Fort Worth District 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 District Office| 109413|801-57575|YUKON CAPITAL MANAGEMENT INC|YUKON WEALTH MANAGEMENT, INC.|7450 WEST 130TH STREET|SUITE 310|OVERLAND PARK KS 60062|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|0|0|0|0|0
Fort Worth District Office| 109417|801-57761|INVESTEC ADVISORY GROUP, L.P.|INVESTEC ADVISORY GROUP, L.P.|1001 WEST LOOP SOUTH|SUITE 800|HOUSTON TX 77027|USA|||  ||CLARK M. BLACKMAN II|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 District Office| 109424|801-54437|FOUNTAIN CAPITAL MANAGEMENT LLC|FOUNTAIN CAPITAL MANAGEMENT LLC|10801 MASTIN BLVD., STE 220||OVERLAND PARK KS 66210|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
Fort Worth District 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 District Office| 109495|801-58103|ACCESS FINANCIAL RESOURCES INC.|ACCESS FINANCIAL RESOURCES INC.|3621 NW 63RD, SUITE A-1||OKLAHOMA CITY OK 73116|USA|||  ||TROY E 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 District 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 District Office| 109518|801-57951|ASCENSION CAPITAL ADVISORS, INC.|ASCENSION CAPITAL ADVISORS, INC.|1800 BERING|SUITE 850|HOUSTON TX 77057|USA|||  ||PAUL B. THOMPSON|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 District 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|913-384-2720|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/13/1997|0|1|0|0|0|0
Fort Worth District 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 District Office| 109564|801-56689|DURKEE CAPITAL ADVISORS LLC|DURKEE CAPITAL ADVISORS LLC|3701 BARTON CREEK BLVD.||AUSTIN TX 78735|USA|||  ||CATHERINE DURKEE|512-732-0019|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
Fort Worth District 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 investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/17/1998|0|2|0|0|0|0
Fort Worth District 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 District 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)|APPROVED|07/27/1988|0|0|0|0|0|0
Fort Worth District Office| 109796|801-19282|FINANCIAL ADVISORY SERVICE INC|FINANCIAL ADVISORY SERVICE INC|4747 WEST 135TH STREET|SUITE 100|LEAWOOD KS 66224|USA|||  ||JO ELLEN TIERNEY|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
Fort Worth District 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 District 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 District 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 District 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 District Office| 109854|801-55760|APS ASSET MANAGEMENT INC|APS ASSET MANAGEMENT INC|1301 CAPITAL OF TEXAS HWY|STE B-221|AUSTIN TX 78746|USA|||  ||GEORGE CONWILL|512-314-4395|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|1|0|0|0|0
Fort Worth District 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 District Office| 109917|801-48506|BYRD CAPITAL MARKET ADVISERS INC|BYRD CAPITAL MARKET ADVISERS INC|2221 E. LAMAR BLVD.|SUITE 650|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|0|0|0|0|0
Fort Worth District Office| 109926|801-52930|USAA FEDERAL SAVINGS BANK|USAA FEDERAL SAVINGS BANK|10750 MCDERMOTT FREEWAY||SAN ANTONIO TX 78288|USA|||  ||MARK A. FERGUSON|210-498-6001|Corporation|Portfolio management for individuals and/or small businesses, Other|APPROVED|09/20/1996|0|0|0|0|0|0
Fort Worth District 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 District Office| 109963|801-55085|WILLINGHAM ASSET MANAGEMENT INC|WILLINGHAM ASSET MANAGEMENT INC|909 FANNIN STREET|STE 2650|HOUSTON TX 77010|USA|||  ||GEORGE MATCEK|713/654-4021|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/05/1997|0|1|0|0|0|0
Fort Worth District Office| 109995|801-56546|CARL STUART INVESTMENT ADVISOR, INC.|CARL STUART INVESTMENT ADVISOR, INC.|100 CONGRESS AVE|STE 1930|AUSTIN TX 78701|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 District Office| 110038|801-57962|BEACON FINANCIAL GROUP|BEACON RETIREMENT PLANNING SERVICES INC.|15301 SPECTRUM DRIVE SUITE 350|ATTN;C/O MINDY LEA KIRBY|ADDISON TX 75001|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)|APPROVED|09/15/2000|0|1|0|0|0|0
Fort Worth District Office| 110055|801-36895|TAYLOR STEPHENS, INC.|TAYLOR STEPHENS INC|12720 HILLCREST RD|SUITE 901|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|0|0|0|0
Fort Worth District 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|Other|APPROVED|06/29/1984|0|0|0|0|0|0
Fort Worth District Office| 110080|801-35811|HODGES CAPITAL MANAGEMENT INC|HODGES CAPITAL MANAGEMENT INC|2905 MAPLE AVE||DALLAS TX 75201|USA|||  ||CAMILLE HODGES HAYS|214-954-1177|Corporation|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|01/05/1990|0|0|0|0|0|0
Fort Worth District Office| 110093|801-14458|LUTHER KING CAPITAL MANAGEMENT CORPORATION|LUTHER KING CAPITAL MANAGEMENT CORPORATION|301 COMMERCE ST|SUITE 1600|FORT WORTH TX 76102|USA|||  ||JACQUELIN F. BROWNFIELD|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 District Office| 110107|801-57482|MLK CAPITAL MANAGEMENT INC|MLK 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 District Office| 110126|801-54874|HIGHLAND CAPITAL MANAGEMENT, L.P.|HIGHLAND CAPITAL MANAGEMENT, L.P.|13455 NOEL RD, SUITE 1300||DALLAS TX 75240|USA|||  ||MICHAEL S. MINCES|972-628-4100|Partnership|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|09/12/1997|0|0|0|0|0|0
Fort Worth District Office| 110156|801-58278|ROBINSON & WILKES, LTD.|ROBINSON & WILKES, LTD.|14800 SAN PEDRO, SUITE 114||SAN ANTONIO TX 78232-3733|USA|||  ||J. MICHAEL WILKES|210-490-1954|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 District 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|Portfolio management for 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
Fort Worth District 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), Selection of other advisers|APPROVED|10/14/1977|0|0|0|0|0|0
Fort Worth District 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 District 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 District 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 businesses or institutional clients (other than investment companies), Portfolio management for individuals and/or small businesses|APPROVED|09/09/1977|0|0|0|0|0|0
Fort Worth District 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 District Office| 110292|801-52530|RUSHMORE INVESTMENT ADVISORS INC|RUSHMORE INVESTMENT ADVISORS INC|1424 GABLES COURT||PLANO TX 75075|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, Selection of other advisers|APPROVED|07/29/1996|0|0|0|0|0|0
Fort Worth District 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|DENISE ANDERSON|479-521-5353|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|09/30/1982|0|0|0|0|0|0
Fort Worth District 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|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|09/08/1974|0|0|0|0|0|0
Fort Worth District 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 District 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 District Office| 110430|801-36925|FRONTIER INVESTMENT MANAGEMENT CO|FRONTIER INVESTMENT MANAGEMENT CO.|8401 N. CENTRAL EXPWY|STE 645, LB 31|DALLAS TX 75225|USA|||  ||GARY SCHOEN|972.934.2590|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/06/1990|0|0|0|0|0|0
Fort Worth District Office| 110471|801-57170|SHEPARD & ASSOCIATES INC|SHEPARD & ASSOCIATES INC|8500 SHAWNEE MISSION PKWY.|SUITE 100|MERRIAM KS 66202|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
Fort Worth District Office| 110476|801-56131|STAVIS MARGOLIS ADVISORY SERVICES INC|STAVIS MARGOLIS ADVISORY SERVICES INC|1300 POST OAK BLVD STE 1500||HOUSTON TX 77056|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), Selection of other advisers, Other|APPROVED|01/07/1999|0|9|1|0|0|0
Fort Worth District Office| 110494|801-52693|MONUMENT INVESTMENTS INC.|MONUMENT INVESTMENTS INC.|5952 ROYAL LANE, SUITE 270||DALLAS TX 75230|USA|||  ||J 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 District 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 District Office| 110564|801-50336|THE RUBEN E. GUERRA COMPANY|GUERRA, RUBEN EDWARD|5845 CROMO|SUITE 1|EL PASO TX 79912|USA|||  ||RUBEN E. GUERRA|915-760-5551|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|10/10/1995|0|0|0|0|0|0
Fort Worth District Office| 110658|801-20514|FCA CORP|FCA CORP|5847 SAN FELIPE|SUITE 850|HOUSTON TX 77057-3008|USA|||  ||BARRY PAPA|713-260-1440|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|01/13/1984|0|0|0|0|0|0
Fort Worth District Office| 110661|801-57200|PALMER & CAY INVESTMENT SERVICES INC|PALMER & CAY INVESTMENT SERVICES INC|6900 COLLEGE BOULEVARD|SUITE 300|OVERLAND PARK KS 66211|USA|||  ||M. DENISE ABERNATHY|704-374-4853|Corporation|Pension consulting services, Selection of other advisers|APPROVED|02/08/2000|0|0|0|0|0|0
Fort Worth District Office| 110705|801-53391|D/B/A HUBER, CARDONO, MORING & RICHTER, L.P.|HUBER, CARDONO & MORING, L.P.|3700 BUFFALO SPEEDWAY|SUITE 420|HOUSTON TX 77098|USA|||  ||DAVID G. MORING|713-402-3825|Other (specify)|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|12/12/1996|0|0|0|0|0|0
Fort Worth District Office| 110728|801-34930|MCCRORY ASSOCIATES INVESTMENT MANAGEMENT INC.|MCCRORY ASSOCIATES INVESTMENT MANAGEMENT INC.|5065 WESTHEIMER|SUITE 726|HOUSTON TX 77056|USA|||  ||AIMEE B. MCCRORY|713-622-3730|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|09/08/1989|0|0|0|0|0|0
Fort Worth District 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 District 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 District 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|||  ||SCOTT O. FERTIG|214/953-4084|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/17/1991|0|1|0|0|0|0
Fort Worth District Office| 110774|801-60138|BOK INVESTMENT ADVISERS, INC.|BOK INVESTMENT ADVISERS, INC.|ONE WILLIAMS CENTER|15TH FLOOR|TULSA OK 74192|USA|||  ||TOMMY C. VINCENT|918-588-6013|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/19/2001|0|2|0|0|0|0
Fort Worth District Office| 110884|801-63552|ARGENTA WEALTH MANAGEMENT|GAUDIN AND ASSOCIATES, INC.|401 MAIN STREET|SUITE 202|NORTH LITTLE ROCK AR 72114|USA|||  ||JOHN GAUDIN|(501)225-5600|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|09/15/2004|0|0|0|0|0|0
Fort Worth District Office| 110889|801-58008|MONTAUK ADVISORS, LLC|MONTAUK ADVISORS, LLC|4514 COLE AVE., SUITE 600||DALLAS TX 75205|USA|||  ||BRIAN|214-559-7129|Limited Liability Company|Other|APPROVED|10/13/2000|0|0|0|0|0|0
Fort Worth District 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
Fort Worth District Office| 110949|801-60054|MILLER-GREEN FINANCIAL SERVICES, INC|MILLER-GREEN FINANCIAL SERVICES, INC|12941 NORTH FREEWAY, SUITE 633||HOUSTON TX 77060|USA|||  ||DONALD GILBERT|281-872-5300|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters, Other|APPROVED|03/13/2001|0|1|0|0|0|0
Fort Worth District Office| 110972|801-24481|FIRST INVESTMENT CORPORATION|FIRST INVESTMENT CORPORATION|302 SE OSAGE||BARTLESVILLE OK 74003|USA|||  ||CHERYL GREEN|918-337-2045|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/28/1985|0|0|0|0|0|0
Fort Worth District Office| 111043|801-45068|KNIGHTSBRIDGE ADVISERS INC|KNIGHTSBRIDGE ADVISERS INC|122 SW FRANK PHILLIPS BOULEVARD||BARTLESVILLE OK 74003|USA|||  ||J. BRADFORD HAMMOND|918 336-0978|Corporation|Other|APPROVED|11/02/1993|0|0|0|0|0|0
Fort Worth District 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
Fort Worth District 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 District Office| 111102|801-31952|BARNETT & BONNER INVESTMENTS|BARNETT INVESTMENTS INC|401 S DEWEY STE 204||BARTLESVILLE OK 74003|USA|||  ||GERALD R BARNETT|918-337-0299|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|05/27/1988|0|0|0|0|0|0
Fort Worth District 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|3|1|0|0|0
Fort Worth District 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 District Office| 111228|801-60177|WEALTH PLANNING & MANAGAMENT, INC.|WEALTH PLANNING & MANAGAMENT, 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), Selection of other advisers, Market timing services, Other|APPROVED|04/06/2001|0|0|0|0|0|0
Fort Worth District Office| 111309|801-56554|ASSET MANAGEMENT ADVISORS, LLC|ASSET MANAGEMENT ADVISORS, LLC|6301 N. WESTERN|SUITE 225|OKLAHOMA CITY OK 73118-1065|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 District 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 District 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 District Office| 111441|801-44394|BRIDGEWAY CAPITAL MANAGEMENT INC|BRIDGEWAY CAPITAL MANAGEMENT INC|5615 KIRBY DRIVE|STE 518|HOUSTON TX 77005-2448|USA|||  ||JOANNA BARNHILL|713-661-3500|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|08/02/1993|0|1|0|0|0|0
Fort Worth District Office| 111462|801-18198|INVESTORS ASSET MANAGEMENT, INC.|INVESTORS ASSET MANAGEMENT, INC.|5045 LORIMAR DRIVE|SUITE 200|PLANO TX 75093|USA|PO BOX 260439||PLANO TX 75026|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)|APPROVED|01/11/1983|0|0|0|0|0|0
Fort Worth District 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 District Office| 111521|801-39899|CAIN, WATTERS & ASSOCIATES, PC|CAIN, WATTERS & ASSOCIATES, PC|5580 PETERSON LANE|SUITE 250|DALLAS TX 75240|USA|||  ||GARY MOORE|972-233-3323|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|09/30/1991|0|0|0|0|0|0
Fort Worth District Office| 111576|801-60539|FLOYD CAPITAL MANAGEMENT|BENJAMIN JOSEPH FLOYD|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 District Office| 111595|801-58252|GRUNDEN FINANCIAL ADVISORY|GRUNDEN FINANCIAL ADVISORY|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 District Office| 111610|801-55234|KELLER & ASSOCIATES CPAS|KELLER THOMAS LANE|101 SOUTH MAIN ST. SUITE 300||VICTORIA TX 77901|USA|P.O. BOX 2549||VICTORIA TX 77902||MARK LEE WESTERMAN|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 District Office| 111660|801-56324|PARAGON FINANCIAL GROUP|PARAGON FINANCIAL GROUP, LLC|8908 SOUTH YALE AVENUE|SUITE 450|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 District 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 District Office| 111695|801-61363|MIAI, INC.|MIAI, INC.|422 W. 3RD AVE.||CORSICANA TX 75110|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 District 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
Fort Worth District Office| 111779|801-62962|CRIMSON MANAGEMENT|PUTTERMAN, DEAN ELIOT|16400 KENSINGTON||SUGAR LAND TX 77479|USA|P.O. BOX 272964||HOUSTON TX 77277-2964|UNITED STATES|DEAN PUTTERMAN|713-525-1520|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/08/2004|0|0|0|0|0|0
Fort Worth District 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 District Office| 111911|801-14063|FRIEDBERG INVESTMENT MANAGEMENT, INC.|FRIEDBERG INVESTMENT MANAGEMENT, INC.|1717 ST. JAMES PLACE|SUITE 425|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 District 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 District 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 District 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|Financial 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|08/10/2001|0|0|0|0|0|0
Fort Worth District Office| 112149|801-60302|QUANTLAB CAPITAL MANAGEMENT, LTD.|QUANTLAB CAPITAL MANAGEMENT, LTD.|4200 MONTROSE BOULEVARD|SUITE 450|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 District 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 District 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 District 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 District 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), Publication of periodicals or newsletters|APPROVED|09/05/2000|0|0|0|0|0|0
Fort Worth District 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|APPROVED|01/21/1993|0|0|0|0|0|0
Fort Worth District 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 District Office| 112308|801-14809|CENTURY MANAGEMENT|VAN DEN BERG MANAGEMENT, INC.|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 businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|09/13/1979|0|0|0|0|0|0
Fort Worth District 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
Fort Worth District 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 District 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|LAWRENCE B. HAWKINS|(972) 238-7111|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 District 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 District Office| 112497|801-24795|DYER ROBERTSON & LAMME INC.|DYER ROBERTSON & LAMME INC.|5847 SAN FELIPE SUITE 1660||HOUSTON TX 77057|USA|||  ||PAT TAYLOR DYER|713-951-9399|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 District Office| 112544|801-57787|SAMCO FINANCIAL ADVISORS, INC.|SAMCO FINANCIAL ADVISORS, INC.|6805 CAPITAL OF TEXAS HIGHWAY, SUITE 350||AUSTIN TX 78731|USA|||  ||ROGER J. ENGEMOEN, JR.|512-794-9100|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/31/2000|0|1|0|0|0|0
Fort Worth District Office| 112556|801-60244|AVALON ADVISORS, L.P.|AVALON ADVISORS, L.P.|717 TEXAS AVE., SUITE 3000||HOUSTON TX 77002|U.S.A.|||  ||GARY T. BONNER|713-238-2050|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|05/04/2001|0|0|0|0|0|0
Fort Worth District 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 District 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|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 District 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 District 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 District 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 District Office| 113109|801-61532|SUNPORT CAPITAL, LLC|SUNPORT CAPITAL, LLC|11727 ELMSCOURT||SAN ANTONIO TX 78230|USA|||  ||IGNACIO J. SUNDERLAND|210-410-1358|Limited Liability Company|Portfolio management for individuals and/or small businesses, Other|APPROVED|10/15/2002|0|0|0|0|0|0
Fort Worth District Office| 113360|801-17695|CAPSTONE ASSET MANAGEMENT COMPANY|CAPSTONE ASSET MANAGEMENT COMPANY|5847 SAN FELIPE|STE 4100|HOUSTON TX 77057|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 District 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 District 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|Other|APPROVED|02/25/2002|0|0|0|0|0|0
Fort Worth District 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 District 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
Fort Worth District 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 District Office| 113885|801-61926|LEGACY FINANCIAL GROUP, INC.|LEGACY FINANCIAL GROUP, INC. A REGISTERED INVESTMENT ADVISORY FI|9401 INDIAN CREEK PARKWAY, STE. 450||OVERLAND PARK KS 66210-2007|USA|||  ||SALVATORE A. LAVELY|(913) 338-5000|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|03/28/2003|0|0|0|0|0|0
Fort Worth District 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 District 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
Fort Worth District Office| 113939|801-63797|KING FINANCIAL GROUP, INC.|KING FINANCIAL GROUP, INC.|4400 COLLEGE BLVD.|SUITE 170|OVERLAND PARK KS 66211-2335|USA|||  ||THOMAS KING|913-327-5532|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/10/2005|0|0|0|0|0|0
Fort Worth District Office| 113999|801-62024|MERIT ADVISORS, INC.|MERIT ADVISORS, INC.|13905 A QUAIL POINTE DRIVE,||OKLAHOMA CITY OK 73134-1002|USA|||  ||J. PAUL CUNNINGHAM|405-748-5335|Corporation|Portfolio management for investment companies, Market timing services|APPROVED|04/30/2003|0|0|0|0|0|0
Fort Worth District 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 District 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
Fort Worth District Office| 114097|801-60421|GLASS MANAGEMENT COMPANY|GLASS MANAGEMENT COMPANY|1250 NE LOOP 410|SUITE 333|SAN ANTONIO TX 78209-1544|USA|||  ||FRED B. LABATT|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 District 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 District 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 District 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 District Office| 114219|801-63219|VOGEL FINANCIAL ADVISORS, LLC|VOGEL FINANCIAL ADVISORS, LLC|10440 N. CENTRAL EXPRESSWAY|SUITE 1200|DALLAS TX 75231|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 District 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 District Office| 114247|801-63372|TEXAN CAPITAL|TEXAN CAPITAL MANAGEMENT, INC.|5075 WESTHEIMER RD.|SUITE 757|HOUSTON TX 77056-5628|USA|||  ||FRANK WOZENCRAFT|713/965-0300|Corporation|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
Fort Worth District Office| 114259|801-66079|BELL FINANCIAL PLANNING|BELL FINANCIAL PLANNING CO.|5524 BEE CAVE ROAD, SUITE G-2||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 District Office| 114263|801-63337|THE GARDNER GROUP|GREGORY D. GARDNER, CFP|5910 NORTH CENTRAL EXPWY|SUITE 1090|DALLAS TX 75206|USA|||  ||NANCY PUTNAM|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 District 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, Pension consulting services|APPROVED|02/13/2004|0|0|0|0|0|0
Fort Worth District 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 District 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 District 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 District 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 District 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, Portfolio management for investment companies|APPROVED|01/06/2005|0|0|0|0|0|0
Fort Worth District Office| 114361|801-65818|CERTIFIED FINANCIAL STRATEGIES CORPORATION|CERTIFIED FINANCIAL STRATEGIES CORPORATION|5495 BELTLINE ROAD|SUITE 290|DALLAS TX 75254|USA|||  ||ROGER ASEL|972-702-8121|Corporation|Financial planning services, 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
Fort Worth District Office| 114381|801-61853|WJ INTERESTS, LLC|WJ INTERESTS, LLC|1600 HIGHWAY 6, SUITE 170||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 District Office| 114412|801-62611|MCDANIEL & MCDANIEL, INC.|MCDANIEL & MCDANIEL FINANCIAL SERVICES, INC.|2500 W 31ST ST.|SUITE B|LAWRENCE KS 66047-3051|USA|||  ||JANET MOORE|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), Selection of other advisers, Publication of periodicals or newsletters, Market timing services|APPROVED|01/02/2004|0|0|0|0|0|0
Fort Worth District Office| 114428|801-63780|BARES CAPITAL MANAGEMENT, INC.|BARES CAPITAL MANAGEMENT, INC.|510 S CONGRESS AVE, SUITE 306||AUSTIN TX 78704|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 District Office| 114431|801-64326|LAUTERBACH FINANCIAL ADVISORS, LLC|LAUTERBACH FINANCIAL ADVISORS, LLC|4130 RIO BRAVO DRIVE, STE. B-100||EL PASO TX 79902|USA|||  ||JON SONNEN|915-544-6950|Limited Liability Company|Financial 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|06/06/2005|0|0|0|0|0|0
Fort Worth District Office| 114510|801-64495|CORNERSTONE ADVISORS|CORNERSTONE ADVISORS, LLC|6540 SW 10TH AVENUE||TOPEKA KS 66615|USA|||  ||DANYSE FORD|785-273-2685|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/08/2005|0|1|1|0|0|0
Fort Worth District 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 District 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|214-756-6073|Partnership|Other|APPROVED|01/25/2006|0|0|0|0|0|0
Fort Worth District 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 District 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 District Office| 114549|801-64491|RETIREMENT CONSULTING SERVICES, INC.|RETIREMENT CONSULTING SERVICES, INC.|16475 DALLAS PARKWAY|SUITE 150|ADDISON TX 75001-6220|USA|||  ||MARTY KATREIN|972-248-1500|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|07/11/2005|0|0|0|0|0|0
Fort Worth District Office| 114556|801-63322|KC INVESTMENT ADVISORS, LLC|KC INVESTMENT ADVISORS, LLC|250 NORTH ROCK ROAD|SUITE 150|WICHITA KS 67206|USA|||  ||MICHAEL K. HERRMAN|(316) 682-8344|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
Fort Worth District 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 District 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 District Office| 114609|801-60619|FINANCIAL EDGE|FINANCIAL EDGE|5164 VILLAGE CREEK DRIVE|SUITE 200|PLANO TX 75093|USA|||  ||MARY CATHERINE FITZGERALD|972-733-4055|Partnership|Financial planning services, Pension consulting services, Selection of other advisers|APPROVED|10/03/2001|0|0|0|0|0|0
Fort Worth District 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), Pension consulting services|APPROVED|09/10/2001|0|0|0|0|0|0
Fort Worth District 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 District Office| 114646|801-61361|JWA FINANCIAL GROUP, INC.|JWA FINANCIAL GROUP, INC.|6200 LBJ FREEWAY|SUITE 180|DALLAS TX 75240|USA|||  ||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 District Office| 114671|801-66256|PRECEPT MANAGEMENT, LLC|PRECEPT MANAGEMENT, LLC|100 CRESCENT COURT|SUITE 850|DALLAS TX 75201|USA|||  ||JOHN BATEMAN|214-880-7444|Limited Liability Company|Other|APPROVED|02/23/2006|0|0|0|0|0|0
Fort Worth District Office| 114679|801-63217|SUCRE-VAIL WEALTH ADVISORS|SUCRE-VAIL, INC|16862 ROYAL CREST DRIVE||HOUSTON TX 77058|USA|||  ||MARGARET SUCRE-VAIL|281-286-1270|Corporation|Pension consulting services, Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/04/2004|0|0|0|0|0|0
Fort Worth District Office| 114680|801-60471|PLACEMARK INVESTMENTS, INC.|PLACEMARK INVESTMENTS, INC.|14180 DALLAS PARKWAY|SUITE 200|DALLAS TX 75254|USA|||  ||JOHN EHINGER JR.|972-404-8100 EXT. 42|Corporation|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
Fort Worth District 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 District 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 District 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|214-756-6073|Partnership|Other|APPROVED|01/26/2006|0|0|0|0|0|0
Fort Worth District 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, Other|APPROVED|04/14/2005|0|0|0|0|0|0
Fort Worth District Office| 114786|801-65696|RPM METROPOLITAN CAPITAL, LLC|RPM METROPOLITAN CAPITAL, LLC|4144 N. CENTRAL EXPRESSWAY|SUITE 900|DALLAS TX 75204|USA|||  ||ELLIOTT ROOSEVELT|(214) 647-2165|Limited Liability Company|Other|APPROVED|01/26/2006|0|0|0|0|0|0
Fort Worth District Office| 114796|801-62129|MATTHEW GOFF|MATTHEW B. GOFF, REGISTERED INVESTMENT ADVISOR|4400 POST OAK PARKWAY, SUITE 2150||HOUSTON TX 77027-3416|USA|PO BOX 35638||HOUSTON TX 77235-5638|USA|MATTHEW GOFF|713-850-8900|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/19/2003|0|0|0|0|0|0
Fort Worth District Office| 114802|801-64110|GNI CAPITAL INC.|GNI CAPITAL INC.|15455 DALLAS PARKWAY, STE. 600||ADDISON TX 75001|USA|PO BOX 26269||GREENVILLE SC 29616|USA|ALLEN R. GILLESPIE|(212) 953-4033|Corporation|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
Fort Worth District Office| 114841|801-63041|UTICA CAPITAL ADVISERS, INC.|UTICA CAPITAL ADVISERS, INC.|2100 SOUTH UTICA|SUITE 310|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 District 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 District Office| 114894|801-64165|USF SERVICES|VISTA ANALYTICS, LLC|ONE SUGAR CREEK CENTER BLVD.|SUITE 1075|SUGAR LAND TX 77478|USA|||  ||MATTHEW M. REYNOLDS|(281) 491-1818|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 District Office| 114917|801-56574|INVESTA|INVESTA, INC|1806 WINE CEDAR LANE||KATY TX 77450|USA|||  ||DEREK HOGGETT|713-646-0532|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 District 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|DOROTHY STANIEC|WHIPPANY NJ 07981|U.S.A.|DOROTHY STANIEC|973-793-2255|Partnership|Portfolio management for individuals and/or small businesses|APPROVED|08/21/2001|0|7|1|0|0|0
Fort Worth District 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 District 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 District Office| 114937|801-60609|FINANCIAL MANAGEMENT SERVICES|BROWN, BENJAMIN, A.|3116 LIVE OAK||DALLAS TX 75204|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 District 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 District 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 District 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, Selection of other advisers, Other|APPROVED|09/16/2003|0|0|0|0|0|0
Fort Worth District 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 District 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 District Office| 115154|801-60502|INTRUST FINANCIAL SERVICES, INC.|INTRUST FINANCIAL SERVICES, INC.|105 N. MAIN STREET||WICHITA KS 67202|USA|P.O. BOX ONE||WICHITA KS 67201-5001|USA|THOMAS S. GANGEL|316-383-1065|Corporation|Portfolio management for investment companies, Selection of other advisers|APPROVED|08/09/2001|0|0|0|0|0|0
Fort Worth District 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 District Office| 115350|801-63944|GARNER ASSET MANAGEMENT CORPORATION|GARNER ASSET MANAGEMENT CORPORATION|5100 TENNYSON PKWY|SUITE 1000|PLANO TX 75024|USA|||  ||ROBERT GARNER|214-495-5653|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|02/14/2005|0|0|0|0|0|0
Fort Worth District 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
Fort Worth District Office| 115505|801-63218|TBP INVESTMENTS MANAGEMENT LLC|TBP INVESTMENTS MANAGEMENT, LLC|260 PRESTON COMMONS WEST 8117 PRESTON ROAD||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 District Office| 115568|801-61583|CARLSON ALTERNATIVE ADVISORS, L.P.|CARLSON ALTERNATIVE ADVISORS, L.P.|2100 MCKINNEY AVENUE|SUITE 1600|DALLAS TX 75201|USA|||  ||TROY D. WUERTZ|214-932-9638|Partnership|Other|APPROVED|11/08/2002|0|0|0|0|0|0
Fort Worth District 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, Other|APPROVED|01/03/2005|0|0|0|0|0|0
Fort Worth District Office| 115806|801-60614|GLOBAL WEALTH MANAGEMENT INC.|GLOBAL WEALTH MANAGEMENT INC.|8201 CANTRELL ROAD|SUITE 335|LITTLE ROCK AR 72227|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 District Office| 115809|801-62165|HULL CAPITAL MANAGEMENT|HULL CAPITAL MANAGEMENT|100 E FERGUSON ST.|SUITE 804|TYLER TX 75702|USA|||  ||EDGAR LEROY HULL, JR.|903-596-0380|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|06/30/2003|0|0|0|0|0|0
Fort Worth District 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
Fort Worth District Office| 115959|801-60804|SPUR CAPITAL PARTNERS|SPUR CAPITAL PARTNERS, LLC|2370 NOWATA PLACE SUITE D||BARTLESVILLE OK 74006|USA|||  ||JOAN C. HEIDORN|918 331-3800|Limited Liability Company|Other|APPROVED|12/28/2001|0|0|0|0|0|0
Fort Worth District 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|Selection of other advisers, Other|APPROVED|02/21/2006|0|0|0|0|0|0
Fort Worth District Office| 116061|801-62136|ASPEN WEALTH MANAGEMENT, INC.|ASPEN WEALTH MANAGEMENT, INC.|7300 COLLEGE BLVD.|SUITE 306|OVERLAND PARK KS 66210|USA|||  ||JODY HOLSINGER|913.491.0500|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Market timing services|APPROVED|06/10/2003|0|0|0|0|0|0
Fort Worth District Office| 116083|801-60827|SIG ADVISORS, L.L.C.|SIG ADVISORS, L.L.C.|1501 LBJ FWY|SUITE 220|DALLAS TX 75234|USA|||  ||STAN HALL|972-884-6123|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|01/04/2002|0|0|0|0|0|0
Fort Worth District 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 District 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|APPROVED|11/23/2001|0|0|0|0|0|0
Fort Worth District Office| 116597|801-61767|THE ROBARE GROUP, LTD.|THE ROBARE GROUP, LTD.|20405 STATE HWY 249|SUITE 580|HOUSTON TX 77070|USA|||  ||JACK L. JONES|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 District Office| 116866|801-65268|GRYPHON MANAGEMENT PARTNERS, L.P.|GRYPHON MANAGEMENT PARTNERS, L.P.|100 CRESCENT COURT|SUITE 490|DALLAS TX 75201|USA|||  ||WARREN W. GARDEN|214-871-6710|Partnership|Other|APPROVED|01/30/2006|0|0|0|0|0|0
Fort Worth District 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 District 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), Selection of other advisers|APPROVED|07/15/2005|0|0|0|0|0|0
Fort Worth District 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)|APPROVED|03/09/2006|1|0|1|0|0|0
Fort Worth District Office| 117713|801-60876|IRON STREET RESEARCH, INC.|IRON STREET RESEARCH, INC.|200 EAST IRON||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
Fort Worth District 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|||  ||JEFF HOLLER|817-801-6455|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|12/14/2001|0|0|0|0|0|0
Fort Worth District 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 District 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|APPROVED|06/26/2003|0|0|0|0|0|0
Fort Worth District 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|0|0|0|0|0
Fort Worth District Office| 118367|801-62325|WALL STREET SERVICES, INC.|WALL STREET SERVICES, INC.|12042 BLANCO|SUITE 104|SAN ANTONIO TX 78216|USA|||  ||MARK LITTLE|210-349-8517|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|09/04/2003|0|0|0|0|0|0
Fort Worth District 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 District Office| 118385|801-65599|LIBERTY FUNDS GROUP|LIBERTY FUNDS GROUP, INC.|7818 ORLANDO AVE.||LUBBOCK TX 79423-1942|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 District Office| 118427|801-60831|J M BROWN AND ASSOCIATES INC.|J M BROWN AND 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, Market timing services|APPROVED|01/22/2002|0|0|0|0|0|0
Fort Worth District Office| 118484|801-65108|ROBERTSON OPPORTUNITY CAPITAL, LLC|ROBERTSON OPPORTUNITY CAPITAL, LLC|4300 WESTGROVE DRIVE|2ND FLOOR|ADDISON TX 75001-3247|USA|||  ||LOREN SAUER|972-713-5001|Limited Liability Company|Other|APPROVED|01/13/2006|0|0|0|0|0|0
Fort Worth District Office| 118581|801-60900|SIG CAPITAL MANAGEMENT, L.L.C.|SIG CAPITAL MANAGEMENT, L.L.C.|1501 LBJ FWY|SUITE 220|DALLAS TX 75234|USA|||  ||STAN HALL|972-884-6123|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|02/01/2002|0|0|0|0|0|0
Fort Worth District 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), Other|APPROVED|01/20/2006|0|1|0|0|0|0
Fort Worth District 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
Fort Worth District Office| 119235|801-65123|KLEINHEINZ CAPITAL PARTNERS, INC.|KLEINHEINZ CAPITAL PARTNERS, INC.|201 MAIN STREET|SUITE 2001|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 District Office| 119462|801-63315|EDEN CAPITAL MANAGEMENT PARTNERS, L.P.|EDEN CAPITAL MANAGEMENT PARTNERS, L.P.|2727 ALLEN PARKWAY # 1880||HOUSTON TX 77019|USA|||  ||ADAM J. NEWAR|713-807-1760|Partnership|Other|APPROVED|07/12/2004|0|0|0|0|0|0
Fort Worth District Office| 119558|801-64117|CAMBRIDGE LEGACY ADVISORS, INC.|CAMBRIDGE LEGACY ADVISORS, INC.|4100 SPRING VALLEY ROAD|SUITE 500|DALLAS TX 75244|USA|||  ||ORAN BEN CARROLL|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 District Office| 119755|801-63101|TFR ADVISORS LLP|TFR ADVISORS LLP|4010 W. PARK BLVD.||PLANO TX 75093-3839|USA|||  ||JERA BAILEY|972-599-3385|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|0|0|0|0|0
Fort Worth District Office| 119759|801-66191|JOHNSON, BENDER & COMPANY|JOHNSON, BENDER & COMPANY|THREE RIVERWAY|SUITE 1535|HOUSTON TX 77056|USA|||  ||TISCH PARKS|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 District Office| 119760|801-63908|AVONDALE|AVONDALE INVESTMENTS, LLC|13905 QUAIL POINTE DRIVE, SUITE A||OKLAHOMA CITY OK 73134|USA|||  ||DONALD L. DILLINGHAM|405-748-2878|Limited Liability Company|Portfolio management for investment companies|APPROVED|03/11/2005|0|0|0|0|0|0
Fort Worth District Office| 119961|801-61088|LEXINGTON FINANCIAL SERVICES, INC.|LEXINGTON FINANCIAL SERVICES, INC.|5847 SAN FELIPE|SUITE 200|HOUSTON TX 77057|USA|||  ||BILL MURSKI|713-292-2307|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
Fort Worth District Office| 120057|801-61075|TAYLOR INVESTMENT ADVISORS LP|TAYLOR INVESTMENT ADVISORS LP|100 CRESCENT COURT, SUITE 525||DALLAS TX 75201|USA|||  ||PAUL PRATER|214-775-4200|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 District Office| 120145|801-61121|AMEGY INVESTMENTS, INC.|AMEGY INVESTMENTS, INC.|4400 POST OAK PARKWAY||HOUSTON TX 77027-3421|USA|||  ||KELLY O. SCHMALHAUSEN|713-232-1451|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 District Office| 120176|801-64092|MDM CAPITAL ADVISORS, LLC|MDM CAPITAL ADVISORS, LLC|8618 BALTIMORE #201||DALLAS TX 75225|USA|P.O. BOX 12636||DALLAS TX 75225-0636|USA|MICHAEL D. MILLER|214-336-8187|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/15/2005|0|0|0|0|0|0
Fort Worth District Office| 120214|801-63501|JOHN SHAO PORTFOLIO MANAGEMENT, INC.|JOHN SHAO PORTFOLIO MANAGEMENT, INC.|3205 NW 63RD STREET||OKLAHOMA CITY OK 73116|USA|||  ||JOHN SHAO|405-810-0677|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 District 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 District Office| 120516|801-64107|TREATY OAK CAPITAL MANAGEMENT, L.P.|TREATY OAK CAPITAL MANAGEMENT, L.P.|301 CONGRESS AVENUE|SUITE 520|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 District 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 District Office| 120586|801-61269|RETIREMENT PLUS, INC.|RETIREMENT PLUS, INC.|11350 TOMAHAWK CREEK PKWY|SUITE 125|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
Fort Worth District Office| 120824|801-61236|EXECUTECH FINANCIAL ADVISORS, LLC|EXECUTECH FINANCIAL ADVISORS, LLC|2909 ST. ANDREWS||RICHARDSON TX 75082|USA|||  ||BEAU JOHNSON|972-690-1177|Limited Liability Company|Publication of periodicals or newsletters|APPROVED|06/20/2002|0|0|0|0|0|0
Fort Worth District Office| 120943|801-64167|CHRONIM ADVISORS|CHRONIM INVESTMENTS INC.|2305 CEDAR SPRINGS RD., SUITE 100||DALLAS TX 75201|USA|||  ||JAMES A. HUGHES|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 District Office| 121015|801-62987|SWANK ADVISORS,LP|SWANK ADVISORS,LP|3300 OAK LAWN|SUITE 650|DALLAS TX 75219|USA|||  ||JERRY SWANK|214-692-6334|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/23/2004|0|0|0|0|0|0
Fort Worth District Office| 121087|801-65771|J. MICHAEL ADVISORS|MICHAEL HAM, L.L.C.|1450 PRESTON FOREST SQUARE|SUITE 290|DALLAS TX 75230|USA|||  ||MICHAEL HAM|972-490-9400|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Market timing services|APPROVED-120|01/25/2006|0|0|0|0|0|0
Fort Worth District Office| 121350|801-62997|GARRISON CAPITAL MANAGEMENT, LLC|GARRISON CAPITAL MANAGEMENT, LLC|5847 SAN FELIPE|SUITE 2825|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 District 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 District Office| 121849|801-61430|PROBITY ADVISORS, INC.|PROBITY ADVISORS, INC.|6688 NORTH CENTRAL EXPRESSWAY, SUITE 625||DALLAS TX 75206|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 District Office| 122085|801-61350|PERIGEE CAPITAL, LP|PERIGEE CAPITAL, LP|2929 ALLEN PARKWAY|SUITE 1530|HOUSTON TX 77019|USA|||  ||M. GUION BOND, JR.|713-526-4848|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|07/31/2002|0|0|0|0|0|0
Fort Worth District Office| 122312|801-63037|JAYHAWK CAPITAL MANAGEMENT, L.L.C.|JAYHAWK CAPITAL MANAGEMENT, L.L.C.|8201 MISSION ROAD, SUITE 110||PRAIRIE VILLAGE KS 66208|USA|||  ||MARCEY M. BERGES|913-642-2611|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/16/2004|0|0|0|0|0|0
Fort Worth District Office| 122394|801-63463|HERITAGE WEALTH MANAGEMENT|HERITAGE WEALTH MANAGEMENT, INC.|4400 POST OAK PARKWAY|SUITE 1950|HOUSTON TX 77027|USA|||  ||DANIEL P. MICHALK|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 District Office| 122438|801-61927|ASCEND WEALTH MANAGEMENT, LLC|ASCEND WEALTH MANAGEMENT, LLC|4400 POST OAK PARKWAY, SUITE 2160||HOUSTON TX 77027|USA|||  ||CHARLES D. BAUER|713.623.8867|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/27/2003|0|0|0|0|0|0
Fort Worth District 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), Pension consulting services, Selection of other advisers|APPROVED|08/23/2002|0|0|0|0|0|0
Fort Worth District Office| 122603|801-61602|ANTHEM 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 individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|11/15/2002|0|0|0|0|0|0
Fort Worth District Office| 122711|801-61607|CRESTLINE MANAGEMENT, L.P.|CRESTLINE MANAGEMENT, L.P.|201 MAIN STREET|SUITE 1900|FORT WORTH TX 76102-3135|USA|||  ||CAMILLE SASSMAN|817-339-7438|Partnership|Other|APPROVED|12/02/2002|0|0|0|0|0|0
Fort Worth District Office| 122833|801-61449|SALIENT ADVISORS, L.P.|SALIENT ADVISORS, L.P.|4265 SAN FELIPE SUITE 900||HOUSTON TX 77027|USA|||  ||JEREMY LAWRENCE RADCLIFFE|713.993.4689|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 District Office| 123051|801-61734|FISCO INVESTMENT MANAGEMENT, L.P.|FISCO INVESTMENT MANAGEMENT, L.P.|100 CRESCENT COURT, SUITE 800||DALLAS TX 75201|USA|||  ||MARTHA MATTHEWS|214-855-2448|Partnership|Other|APPROVED|01/27/2003|0|0|0|0|0|0
Fort Worth District 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, Other|APPROVED|10/10/2002|0|5|1|0|0|0
Fort Worth District Office| 123707|801-61737|ERASMUS ADVISORS|ERASMUS ADVISORS, LLC|2651 N. HARWOOD|SUITE 210|DALLAS TX 75201|USA|||  ||MATTHEW O'REILLY|(214)234-3995|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/28/2003|0|0|0|0|0|0
Fort Worth District Office| 123711|801-61622|TORTOISE CAPITAL ADVISORS, L.L.C.|TORTOISE CAPITAL ADVISORS, L.L.C.|10801 MASTIN BLVD, SUITE 222||OVERLAND PARK KS 66210|USA|10801 MASTIN BLVD, SUITE 222||OVERLAND PARK KS 66210|USA|CONNIE SAVAGE|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
Fort Worth District Office| 123716|801-61598|CLOVER PARTNERS, L.P.|CLOVER PARTNERS, L.P.|2100 MCKINNEY AVE SUITE 1500||DALLAS TX 75201|USA|||  ||THOMAS J. DONVAN|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 District 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 District 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 District 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 District 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 District Office| 124175|801-62429|DAVID HENRY DISRAELI DBA LIFEPLAN ASSOCISATES|DAVID HENRY DISRAELI DBA LIFEPLAN ASSOCISATES|710 WEST AVE||AUSTIN TX 78701|USA|||  ||DAVID DISRAELI|512.334.6650|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|10/17/2003|0|1|0|0|0|0
Fort Worth District Office| 124235|801-61702|SALI FUND SERVICES|SALI FUND MANAGEMENT, LLC|6850 AUSTIN CENTER BLVD.|SUITE 350|AUSTIN TX 78731|USA|||  ||JUDY A. SOSLAU|512-476-3033|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 District Office| 124277|801-62536|EARLY, MCCLINTIC & MCMILLAN|EARLY, MCCLINTIC & MCMILLAN, LLP|4800 SUGAR GROVE BLVD|STE 100|STAFFORD TX 77477|USA|||  ||DANIEL MCMILLAN|281-491-5260|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|12/11/2003|0|0|0|0|0|0
Fort Worth District Office| 124414|801-62397|RANGER INVESTMENT MANAGEMENT,L.P.|RANGER INVESTMENT MANAGEMENT,L.P.|300 CRESCENT COURT,|SUITE 1000|DALLAS TX 75201|USA|||  ||TOM 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|10/23/2003|0|0|0|0|0|0
Fort Worth District Office| 124421|801-62713|MUSTANG CAPITAL MANAGEMENT, LLC|MUSTANG CAPITAL MANAGEMENT, LLC.|4899 MONTROSE BLVD.|SUITE 1604|HOUSTON TX 77006|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 District 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|APPROVED|05/16/2003|0|0|0|0|0|0
Fort Worth District Office| 124699|801-65147|KAIZEN MANAGEMENT, LP|KAIZEN MANAGEMENT, LP|4200 MONTROSE BLVD., SUITE 510||HOUSTON TX 77006|USA|||  ||ADAM MICHAEL|713.529.3660|Partnership|Other|APPROVED|01/13/2006|0|1|0|0|0|0
Fort Worth District Office| 124822|801-62442|BREECO MANAGEMENT, L.P.|BREECO MANAGEMENT, L.P.|700 LOUISIANA|SUITE 2410|HOUSTON TX 77002|USA|||  ||CYNDI M. SHOFNER|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 District 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 District 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|||  ||CINDY ZEE MICHEL|212 526-9583|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 District 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|||  ||CINDY ZEE MICHEL|212 526-9583|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 District 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 District Office| 125011|801-61908|PEMBROKE ADVISORS|PEMBROKE ADVISORS, INC.|15926 MAPLEHURST||SPRING TX 77379|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 District 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 District Office| 125675|801-64393|CROSS INVESTMENT MANAGEMENT, LLC|CROSS INVESTMENT MANAGEMENT, LLC|13047 PEBBLEBROOK DRIVE||HOUSTON TX 77079|USA|13047 PEBBLEBROOK DRIVE||HOUSTON TX 77079|USA|BILL CROSS|713-463-9019|Limited Liability Company|Portfolio management for investment companies|APPROVED|06/16/2005|0|0|0|0|0|0
Fort Worth District 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
Fort Worth District 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 District Office| 126550|801-65089|HEADSTREAM ADVISORS, L.L.C.|HEADSTREAM ADVISORS, L.L.C.|5949 SHERRY LANE|SUITE 1735|DALLAS TX 75225|USA|||  ||WILLIAM (BILL) C. WARD|214-378-6300|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/11/2006|0|0|0|0|0|0
Fort Worth District Office| 127010|801-62640|POOL CAPITAL PARTNERS|POOL CAPITAL PARTNERS LLC|600 TRAVIS STREET|SUITE 3100|HOUSTON TX 77002|USA|||  ||STEPHEN POUNS|713-220-4226|Limited Liability Company|Other|APPROVED|01/28/2004|0|0|0|0|0|0
Fort Worth District Office| 127025|801-62809|H.S. DENT INVESTMENT MANAGEMENT, LLC|H.S. DENT INVESTMENT MANAGEMENT, LLC|309 S. JUPITER ROAD|SUITE 200|ALLEN TX 75002|USA|||  ||RODNEY JOHNSON|972-396-1733|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/27/2004|0|0|0|0|0|0
Fort Worth District 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 District 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 District Office| 127186|801-64386|STREETTALK ADVISORS, L.L.C.|STREETTALK ADVISORS, L.L.C.|2000 W. SAM HOUSTON PKWY S.|SUITE 1750|HOUSTON TX 77042|USA|||  ||LANCE ROBERTS|713-403-3980|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|05/19/2005|0|1|0|0|0|0
Fort Worth District 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, Other|APPROVED|07/03/2003|0|0|0|0|0|0
Fort Worth District Office| 127474|801-64737|EVOLVE SECURITIES, INC.|EVOLVE SECURITIES, INC.|11300 N. CENTRAL EXPRESSWAY|SUITE 601|DALLAS TX 75243|USA|||  ||CAROLINE B. AUSTIN|214-891-9781|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|10/12/2005|0|0|0|0|0|0
Fort Worth District Office| 127511|801-65054|HANVEY FINANCIAL|HANVEY, STEPHEN JEFFREY|1011 WESTLAKE DR||WEST LAKE HILLS TX 78746|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|01/24/2006|0|0|0|0|0|0
Fort Worth District Office| 127639|801-65527|CORRIENTE ADVISORS, LLC|CORRIENTE ADVISORS, LLC|301 COMMERCE STREET|SUITE 1840|FORT WORTH TX 76102|USA|||  ||HOLMAN HARVEY|817.870.0400|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/24/2006|0|0|0|0|0|0
Fort Worth District Office| 127750|801-63493|BELLWETHER ADVISORS, LLC|BELLWETHER ADVISORS, LLC|1330 POST OAK BOULEVARD|SUITE 1600|HOUSTON TX 77056|USA|||  ||RYAN D. SMITH|713-963-3668|Limited Liability Company|Portfolio management for investment companies, Selection of other advisers|APPROVED|09/16/2004|0|0|0|0|0|0
Fort Worth District 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 District Office| 128051|801-65429|SSR CAPITAL PARTNERS, LP|SSR CAPITAL PARTNERS, LP|TWO LINCOLN CENTRE, SUITE 573|5420 LBJ FREEWAY|DALLAS TX 75240|USA|||  ||TIMOTHY H. LAW|972-776-8000|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/14/2006|0|0|0|0|0|0
Fort Worth District Office| 128155|801-62606|BMA VENTURES, INC.|BMA VENTURES, INC.|13330 NOEL DR. #1328||DALLAS TX 75240|USA|13410 PRESTON RD.; 1-265||DALLAS TX 75240|USA|WILLIAM KEPLER|214-459-5772|Corporation|Publication of periodicals or newsletters|APPROVED-120|01/02/2004|0|0|0|0|0|0
Fort Worth District 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|THOMAS W. LAMING|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
Fort Worth District 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|Partnership|Other|APPROVED|01/06/2006|0|0|0|0|0|0
Fort Worth District 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 District Office| 128472|801-62481|RPBROOKS FINANCIAL, INC.|RPBROOKS FINANCIAL, INC.|5001 SPRING VALLEY RD|STE 1155E LB11E|DALLAS TX 75244|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 District 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 District Office| 128935|801-62476|IRONMAN CAPITAL MANAGEMENT, LLC|IRONMAN CAPITAL MANAGEMENT, LLC|4545 BISSONNET|SUITE 291|BELLAIRE TX 77401|USA|||  ||G. BRYAN DUTT|713/218-6945|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|10/31/2003|0|0|0|0|0|0
Fort Worth District 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 District Office| 129208|801-62494|SMART401K, LLC|SMART401K, LLC|11095 METCALF||OVERLAND PARK KS 66210|USA|||  ||SCOTT REVARE|913 481 1164|Limited Liability Company|Other|APPROVED|11/14/2003|0|0|0|0|0|0
Fort Worth District 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 District Office| 129346|801-62618|ENDOWMENT ADVISERS, L.P.|ENDOWMENT ADVISERS, L.P.|4265 SAN FELIPE|SUITE 900|HOUSTON TX 77027|USA|||  ||JEREMY L RADCLIFFE|(800) 900-4675|Partnership|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 District Office| 129566|801-65500|WESTERN RESERVE CAPITAL MANAGEMENT, LP|WESTERN RESERVE CAPITAL MANAGEMENT, LP|100 CRESCENT COURT|SUITE 400|DALLAS TX 75201|USA|||  ||JAMES A. DAVIS|214-871-6735|Partnership|Other|APPROVED|01/23/2006|0|0|0|0|0|0
Fort Worth District Office| 129610|801-62656|PREMIERSOURCE LLC|PREMIERSOURCE LLC|101 NORTH BROADWAY, SUITE 300||OKLAHOMA CITY OK 73102|USA|||  ||TEAH CORLEY|405-218-4624|Limited Liability Company|Pension consulting services|APPROVED|01/23/2004|0|0|0|0|0|0
Fort Worth District Office| 129625|801-62655|THE RETIREMENT PLANNING GROUP, INC.|THE RETIREMENT PLANNING GROUP, INC.|7400 COLLEGE BOULEVARD|SUITE# 105|OVERLAND PARK KS 66210|USA|||  ||CHRIS K. COSTELLO|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
Fort Worth District 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 District Office| 129669|801-62554|LEXINGTON ASSET MANAGEMENT, INC.|LEXINGTON ASSET MANAGEMENT, INC.|5847 SAN FELIPE|STE 200|HOUSTON TX 77057|USA|||  ||BILL S. MURSKI|(713) 292-2303|Corporation|Portfolio 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
Fort Worth District 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|APPROVED|01/02/2004|0|0|0|0|0|0
Fort Worth District Office| 129701|801-64374|LBJ ASSET MANGEMENT PARTNERS|LBJ ASSET MANGEMENT PARTNERS, LTD.|114 WEST SEVENTH STREET|SUITE 900|AUSTIN TX 78701|USA|||  ||FAITH VINCENT|512-457-5008|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|07/15/2005|0|0|0|0|0|0
Fort Worth District Office| 129852|801-62642|HAWKINS CAPITAL L.P.|HAWKINS CAPITAL L.P.|717 TEXAS AVENUE|SUITE 3000|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 District Office| 129902|801-62716|LEXINGTON FINANCIAL ADVISORS, INC.|LEXINGTON FINANCIAL ADVISORS, INC.|5847 SAN FELIPE|SUITE 200|HOUSTON TX 77057|USA|||  ||BILL S. MURSKI|713-292-2303|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|01/23/2004|0|0|0|0|0|0
Fort Worth District Office| 129912|801-62635|ALDUS EQUITY PARTNERS|RENAISSANCE PRIVATE EQUITY PARTNERS, LP|2651 N. HARWOOD|SUITE 210|DALLAS TX 75201|USA|||  ||MATTHEW O'REILLY|(214)234-3995|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|01/14/2004|0|0|0|0|0|0
Fort Worth District 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 District Office| 130047|801-64176|THESEUS ENERGY LLC|THESEUS ENERGY LLC|1000 LOUISIANA|SUITE 6925|HOUSTON TX 77002|USA|||  ||SANDEEP SACHDEVA|713.751.9900|Limited Liability Company|Other|APPROVED|04/08/2005|0|0|0|0|0|0
Fort Worth District Office| 130077|801-63024|CAPNET ADVISORS INCORPORATED|CAPNET ADVISORS INCORPORATED|1021 MAIN STREET|SUITE 1050|HOUSTON TX 77002|USA|||  ||CHUCK WADDELL|832-201-1099|Corporation|Financial planning services, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|05/07/2004|0|2|0|0|0|0
Fort Worth District Office| 130155|801-62932|CENTURY ADVISORS, LLC|CENTURY ADVISORS, LLC|3503 NW 63RD, SUITE 200||OKLAHOMA CITY OK 73116-2203|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|0|0|0|0|0
Fort Worth District Office| 130447|801-62779|PATRIOT WEALTH MANAGEMENT, INC.|PATRIOT WEALTH MANAGEMENT, INC.|5847 SAN FELIPE|SUITE 200|HOUSTON TX 77057|USA|||  ||TODD HANSLIK|713-344-9303|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 District 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, Other|APPROVED|02/09/2004|0|0|0|0|0|0
Fort Worth District 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 District 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 District Office| 130569|801-62874|USF ADVISORS, LLC|USF ADVISORS, LLC|ONE SUGAR CREEK CENTER BLVD.|SUITE 1075|SUGAR LAND TX 77478|USA|||  ||MATTHEW M. REYOLDS|281-491-1818|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), Pension consulting services, Selection of other advisers|APPROVED|03/04/2004|0|0|0|0|0|0
Fort Worth District Office| 130652|801-62897|S&S WEALTH MANAGEMENT|S & S WEALTH MANAGEMENT, L.P.|2505 N. HIGHWAY 360|SUITE 490|GRAND PRAIRIE TX 75050|USA|||  ||GLORIA PATTERSON|817-276-8090|Partnership|Portfolio management for individuals and/or small businesses|APPROVED|03/12/2004|0|0|0|0|0|0
Fort Worth District 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|1|0|0|0
Fort Worth District 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 District Office| 130914|801-63009|IMS FINANCIAL ADVISORS, INC.|IMS FINANCIAL ADVISORS, INC.|1500 CITY WEST BLVD|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 District Office| 130940|801-65256|BEXAR CAPITAL MANAGEMENT, L.P.|BEXAR CAPITAL MANAGEMENT, L.P.|300 CRESCENT COURT|SUITE 1170|DALLAS TX 75201|USA|||  ||BRIAN BLAKEMAN|214.468.8440|Partnership|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
Fort Worth District Office| 131044|801-63834|FWC WEALTH ADVISORS LLP|FWC WEALTH ADVISORS LLP|7030 S. YALE AVE., SUITE 300||TULSA OK 74136|USA|||  ||CURT WILSON|918-493-2584|Limited Liability Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|02/01/2005|0|0|0|0|0|0
Fort Worth District Office| 131293|801-63348|TETON CAPITAL PARTNERS, L.P.|TETON CAPITAL PARTNERS, L.P.|11OO WEST 6TH STREET|SUITE D|AUSTIN TX 78703|USA|||  ||DANIEL SMITH|(512) 275-6210|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/08/2004|0|0|0|0|0|0
Fort Worth District 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 District Office| 131407|801-63120|PRICE WEALTH MANAGEMENT, INC.|PRICE WEALTH MANAGEMENT, INC.|111 CONGRESS|SUITE 3000|AUSTIN TX 78701|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|APPROVED|05/18/2004|0|0|0|0|0|0
Fort Worth District Office| 131417|801-64945|CPMG, INC.|CPMG, INC.|500 CRESCENT COURT|SUITE 250|DALLAS TX 75201|USA|||  ||DEBBIE CRADY|214-871-6809|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/14/2005|0|1|0|0|0|0
Fort Worth District Office| 131420|801-64944|CARDINAL PUBLIC MARKET GROUP, L.P.|CARDINAL PUBLIC MARKET GROUP, L.P.|500 CRESCENT COURT|SUITE 250|DALLAS TX 75201|USA|||  ||DEBBIE CRADY|214-871-6809|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/14/2005|0|1|0|0|0|0
Fort Worth District Office| 131482|801-63165|BRIAN PUCKETT RETIREMENT ADVISORS, LLC|BRIAN PUCKETT RETIREMENT ADVISORS, LLC|9400 N. BROADWAY EXTENSION|SUITE 540|OKLAHOMA CITY OK 73114|USA|||  ||BRIAN PUCKETT|405-607-4820|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|05/18/2004|0|0|0|0|0|0
Fort Worth District Office| 131517|801-63255|SWANK ENERGY INCOME ADVISORS, LP|SWANK ENERGY INCOME ADVISORS, LP|3300 OAK LAWN AVE|SUITE 650|DALLAS TX 75219|USA|||  ||JERRY SWANK|214-692-6334|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/17/2004|0|0|0|0|0|0
Fort Worth District Office| 131544|801-63166|AQS ASSET MANAGEMENT, L.L.C.|AQS ASSET MANAGEMENT, L.L.C.|2700 VIA FORTUNA|STE 400|AUSTIN TX 78746|USA|||  ||BYRON L. WHITE|512-329-5252|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 District 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 businesses or institutional clients (other than investment companies)|APPROVED|08/11/2004|0|0|0|0|0|0
Fort Worth District Office| 131630|801-63240|TUGAR CAPITAL MANAGEMENT, L.P.|TUGAR CAPITAL MANAGEMENT, L.P.|1601 ELM STREET|SUITE 4000|DALLAS TX 75201|USA|||  ||KENNETH L. TANANBAUM|(214) 720-1600|Partnership|Other|APPROVED|06/17/2004|0|0|0|0|0|0
Fort Worth District Office| 131658|801-63295|SOLARIS CAPITAL MANAGEMENT LIMITED|SOLARIS CAPITAL MANAGEMENT LIMITED|1324 BANKS STREET||HOUSTON TX 77006-6016|USA|||  ||LEONARD GOLUB|713-524-9463|Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|07/09/2004|0|0|0|0|0|0
Fort Worth District Office| 131750|801-63216|MUTUALS ADVISORS, INC.|MUTUALS ADVISORS, INC.|700 N. PEARL|STE. 900|DALLAS TX 75201|USA|||  ||MICHAEL J. HENRY|214-953-0066|Corporation|Portfolio management for investment companies|APPROVED|05/20/2004|1|1|1|0|0|0
Fort Worth District Office| 131832|801-63212|FINANCIAL PLANNING PARTNERS|GODFREY INVESTMENTS, INC.|13401 MISSION RD|SUITE 203|LEAWOOD KS 66209|USA|||  ||STEPHEN D. GODFREY|913-345-1222|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/28/2004|0|1|1|0|0|0
Fort Worth District Office| 131853|801-63248|KING MONEY MANAGEMENT, INCORPORATED|KING MONEY MANAGEMENT, INCORPORATED|107 MALUS COURT||LAKEWAY TX 78734|USA|||  ||BRADFORD S. KING|512-608-9169|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|06/24/2004|0|0|0|0|0|0
Fort Worth District 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, Other|APPROVED|06/29/2004|0|0|0|0|0|0
Fort Worth District Office| 132117|801-63395|CENTAUR CAPITAL PARTNERS, L.P.|CENTAUR CAPITAL PARTNERS, L.P.|100 CRESCENT COURT, SUITE 800||DALLAS TX 75201|USA|||  ||MALCOLM EZEKIAL ASHTON|214-855-2465|Partnership|Portfolio management for investment companies, Other|APPROVED|07/30/2004|0|0|0|0|0|0
Fort Worth District Office| 132276|801-63886|RANGER FUND MANAGEMENT, L.P.|RANGER FUND MANAGEMENT, L.P.|300 CRESCENT COURT|SUITE 1000|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 District Office| 132393|801-65270|GSSF MANAGEMENT PARTNERS, LP|GSSF MANAGEMENT PARTNERS, LP|100 CRESCENT COURT,|SUITE 475|DALLAS TX 75201|USA|||  ||WARREN W. GARDEN|214-871-6710|Partnership|Other|APPROVED|01/30/2006|0|0|0|0|0|0
Fort Worth District 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 District 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 District 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 District Office| 132519|801-63411|BRIDGEWATER INVESTMENT MANAGEMENT, LLC|BRIDGEWATER 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), Selection of other advisers|APPROVED|08/03/2004|0|0|0|0|0|0
Fort Worth District 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 District 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 District Office| 132923|801-64197|FISCOVARIS INVESTMENT MANAGEMENT, LP|FISCOVARIS INVESTMENT MANAGEMENT, LP|100 CRESCENT COURT,|SUITE 800|DALLAS TX 75201|USA|||  ||MARTHA MATTHEWS|214-855-2448|Partnership|Other|APPROVED|05/03/2005|0|0|0|0|0|0
Fort Worth District Office| 132967|801-63545|CAPITAL ROYALTY L.P.|CAPITAL ROYALTY L.P.|1000 MAIN STREET, SUITE 2500||HOUSTON TX 77002|USA|||  ||BONNIE LEWIS|713-209-7365|Partnership|Other|APPROVED|10/01/2004|0|0|0|0|0|0
Fort Worth District Office| 132975|801-64155|NORCOM INVESTMENT MANAGEMENT, L.P.|NORCOM INVESTMENT MANAGEMENT, L.P.|15770 N. DALLAS PARKWAY|SUITE 225|DALLAS TX 75248|USA|||  ||DAVID NORCOM|972-701-8816|Limited Liability Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/14/2005|0|0|0|0|0|0
Fort Worth District Office| 133014|801-63567|LEGACY INVESTMENT PARTNERS, LLC|LEGACY INVESTMENT PARTNERS, LLC|11350 TOMAHAWK CREEK PARKWAY|SUITE 200|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
Fort Worth District Office| 133110|801-63765|CAYMUS CAPITAL PARTNERS, L.P.|CAYMUS CAPITAL PARTNERS, L.P.|16800 GREENSPOINT PARK DRIVE|SUITE 99-S|HOUSTON TX 77060|USA|||  ||GREGG A. JACOBSON|281-774-2054|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/03/2005|0|0|0|0|0|0
Fort Worth District Office| 133165|801-63639|LAMINAR DIRECT CAPITAL GP, INC.|LAMINAR DIRECT CAPITAL GP, INC.|10000 MEMORIAL DRIVE, SUITE 500||HOUSTON TX 77026|USA|||  ||STEVEN JAY SEIDEMANN|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 District 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 District Office| 133413|801-63718|INTEGRITY INVESTMENT ADVISORS, LLC|INTEGRITY INVESTMENT ADVISORS, LLC|1100 SW WANAMAKER RD., SUITE 3||TOPEKA KS 66604|USA|||  ||ANTHONY R MOELLER|913-515-3590|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/03/2005|0|0|0|0|0|0
Fort Worth District 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 HARPER|512-306-7277|Partnership|Other|APPROVED|01/03/2005|0|0|0|0|0|0
Fort Worth District Office| 133607|801-63902|PROSPECT MANAGEMENT ADVISERS, L.P.|PROSPECT MANAGEMENT ADVISERS, L.P.|13455 NOEL RD|SUITE 1320|DALLAS TX 75240|USA|||  ||SCOTT JOHNSON|972-383-8010|Other (specify)|Other|APPROVED-120|09/23/2005|0|0|0|0|0|0
Fort Worth District 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 District Office| 133705|801-63975|VIRTUS PRIVATE WEALTH MANAGEMENT|VIRTUS PRIVATE WEALTH MANAGEMENT|7500 RIALTO BLVD., STE. 160||AUSTIN TX 78735|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 District Office| 133745|801-63888|GARRISON FINANCIAL ADVISORS, INC.|GARRISON FINANCIAL ADVISORS, INC.|TWO NORTH COLLEGE||FAYETTEVILLE AR 72701|USA|||  ||GLENN E. ATKINS|(479) 587-1045|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/03/2005|0|1|0|0|0|0
Fort Worth District 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|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|01/27/2005|0|0|0|0|0|0
Fort Worth District 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 District Office| 134086|801-66368|LEVEL FOUR ADVISORY SERVICES|LEVEL FOUR ADVISORY SERVICES, LLC|1031 EMERALD SOUND BLVD.|SUITE 201|OAK POINT TX 75068|USA|P.O. BOX 1208||FRISCO TX 75034|USA|JOSEPH GLOBENSKY|214-969-1888|Limited Liability Company|Financial planning services, Portfolio management 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 District Office| 134530|801-64179|STEFFES FINANCIAL, LTD|STEFFES FINANCIAL, LTD|8500 SHAWNEE MISSION PKWY|STE 101|MERRIAM KS 66202|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
Fort Worth District Office| 134601|801-64764|HAWKEYE PARTNERS, LP|HAWKEYE PARTNERS, LP|2001 NORTH LAMAR ST|SUITE 300|DALLAS TX 75202|USA|||  ||KYM JANNEY|214-468-2020|Partnership|Selection of other advisers, Other|APPROVED-120|01/27/2006|0|0|0|0|0|0
Fort Worth District Office| 134641|801-64189|COBB RETIREMENT SOLUTIONS, LLC|COBB RETIREMENT SOLUTIONS, LLC|4660 BEECHNUT|SUITE 236|HOUSTON TX 77096|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 District Office| 134650|801-64052|KEYES CAPITAL MANAGEMENT LP|KEYES CAPITAL MANAGEMENT LP|3624 ASBURY STREET||DALLAS TX 75205|USA|||  ||WILLIAM A. ROEVER|214.207.4850|Partnership|Other|APPROVED-120|04/08/2005|0|0|0|0|0|0
Fort Worth District Office| 134714|801-64071|SOUTHERN WEALTH INVESTMENT ADVISORS LLC|SOUTHERN WEALTH INVESTMENT ADVISORS LLC|19206 HUEBNER|SUITE 101|SAN ANTONIO TX 78258|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 District Office| 134868|801-65394|SPYGLASS MANGEMENT, LP|SPYGLASS MANGEMENT, LP|510 BERING DRIVE|SUITE 230|HOUSTON TX 77057|USA|||  ||K. GUS VLAHADAMIS|(713) 268-1651|Other (specify)|Portfolio management for individuals and/or small businesses|APPROVED|02/24/2006|0|0|0|0|0|0
Fort Worth District Office| 134928|801-64623|EFG ADVISORS|EVOLVE INVESTMENT ADVISORS, INC.|11300 N. CENTRAL EXPRESSWAY|SUITE 601|DALLAS TX 75243|USA|||  ||CAROLINE B. AUSTIN|214-891-9781|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|08/16/2005|0|0|0|0|0|0
Fort Worth District 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|Other|APPROVED|04/20/2005|0|0|0|0|0|0
Fort Worth District Office| 135004|801-64158|FONDREN MANAGEMENT LP|FONDREN MANAGEMENT LP|1177 WEST LOOP SOUTH|SUITE 1625|HOUSTON TX 77027|USA|||  ||BRIAN MUECKE|713-482-2195|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|04/15/2005|0|0|0|0|0|0
Fort Worth District 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 District Office| 135150|801-64226|SPINNERHAWK CAPITAL MANAGEMENT, L.P.|SPINNERHAWK CAPITAL MANAGEMENT, L.P.|200 CRESCENT COURT|SUITE 1030|DALLAS TX 75201|USA|||  ||JOHN ALBAN|214-855-2885|Partnership|Other|APPROVED|06/08/2005|0|0|0|0|0|0
Fort Worth District Office| 135226|801-64482|CHOICE ADVISORY GROUP, INC.|CHOICE ADVISORY GROUP, INC.|7800 SHOAL CREEK BLVD||AUSTIN TX 78757|USA|||  ||VIVIAN D. JACKSON|512-302-6079|Corporation|Financial planning services, 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|5|1|0|0|0
Fort Worth District Office| 135244|801-64245|TEXANS WEALTH ADVISORS|TEXANS WEALTH ADVISORS, LLC|5301 SPRING CREEK PKWY|SUITE 1834|PLANO TX 75024|USA|||  ||JIM WIGEN|214-728-5468|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED-120|05/06/2005|0|0|0|0|0|0
Fort Worth District 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 District Office| 135436|801-64629|GLOBAL FINANCIAL INVESTMENTS, LLC|GLOBAL FINANCIAL INVESTMENTS, LLC|10111 RICHMOND AVENUE|SUITE 350|HOUSTON TX 77042|USA|||  ||DR. STEVE AMS|713-278-0808|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-120|08/30/2005|0|0|0|0|0|0
Fort Worth District Office| 135444|801-64264|UA CAPITAL ADVISORS, INC.|UA CAPITAL ADVISORS, INC.|5700 NORTHWEST CENTRAL DRIVE|SUITE 400|HOUSTON TX 77092|USA|||  ||STEPHEN HAND|713-460-1000|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|05/06/2005|0|0|0|0|0|0
Fort Worth District Office| 135522|801-64336|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-120|06/17/2005|0|0|0|0|0|0
Fort Worth District Office| 135613|801-64579|USF ALTERNATIVE SERVICES, LLC|USF ALTERNATIVE SERVICES, LLC|ONE SUGAR CREEK CENTER BLVD|SUITE 1075|SUGAR LAND TX 77478|USA|||  ||MATTHEW M. REYNOLDS|281-491-1818|Limited Liability Company|Other|APPROVED|08/12/2005|0|0|0|0|0|0
Fort Worth District Office| 135639|801-64657|VESTA CAPITAL PARTNERS LP|VESTA CAPITAL PARTNERS LP|5847 SAN FELIPE|SUITE 1700|HOUSTON TX 77057|USA|||  ||DAVID FRANCIS|713.335.0477|Partnership|Other|APPROVED-120|08/26/2005|0|0|0|0|0|0
Fort Worth District 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 businesses or institutional clients (other than investment companies)|APPROVED|06/16/2005|0|0|0|0|0|0
Fort Worth District Office| 135821|801-64396|MOORE CLAYTON CAPITAL ADVISORS, INC.|MOORE CLAYTON CAPITAL ADVISERS, INC.|2727 ALLEN PARKWAY|13TH FLOOR|HOUSTON TX 77019|USA|||  ||KENNETH DENOS|801-816-2511|Corporation|Portfolio management for investment companies|APPROVED|07/05/2005|0|0|0|0|0|0
Fort Worth District 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 District Office| 136091|801-64664|JLJ CAPITAL MANAGEMENT, LLC|JLJ CAPITAL MANAGEMENT, LLC|5913 WASHINGTON||HOUSTON TX 77007|USA|PO BOX 22486||HOUSTON TX 77227|USA|JAMIE JOHNSON|713-552-9594|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED-120|08/30/2005|0|0|0|0|0|0
Fort Worth District Office| 136124|801-64464|YX FUNDS LTD|YX FUNDS LTD|100 CRESCENT COURT|SUITE 490|DALLAS TX 75201|USA|||  ||SHANNON J. COLLINS|214-871-6733|Partnership|Other|APPROVED|07/01/2005|0|0|0|0|0|0
Fort Worth District 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 District Office| 136184|801-64667|THE QUANTITATIVE GROUP, LP|THE QUANTITATIVE GROUP, LP|700 NORTH ST. MARY'S|SUITE 800|SAN ANTONIO TX 78205|USA|||  ||JASON W BLACK|210-798-4261|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|08/26/2005|0|0|0|0|0|0
Fort Worth District 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|Other|APPROVED|07/28/2005|0|0|0|0|0|0
Fort Worth District 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 businesses or institutional clients (other than investment companies)|APPROVED|09/02/2005|0|12|2|0|0|0
Fort Worth District Office| 136370|801-64724|SENTINEL WEALTH ADVISORS, LLC|SENTINEL WEALTH ADVISORS, LLC|7700 SHAWNEE MISSION PKWY|SUITE 204|OVERLAND PARK KS 66202|USA|||  ||ANDREA CARRICO|913-647-1340|Limited Liability Company|Selection of other advisers, Other|APPROVED-120|09/26/2005|0|0|0|0|0|0
Fort Worth District 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 District Office| 136435|801-64540|SARACEN ENERGY ADVISORS, LP|SARACEN ENERGY ADVISORS, LP|FIVE GREENWAY PLAZA|SUITE 1310|HOUSTON TX 77046|USA|||  ||DIANNE RUSSO|713 533-5800|Partnership|Other|APPROVED|07/25/2005|0|0|0|0|0|0
Fort Worth District Office| 136485|801-65940|TRIPPON WEALTH MANAGEMENT GROUP LLC|TRIPPON WEALTH MANAGEMENT GROUP LLC|5959 WEST LOOP SO.|SUITE 510|BELLAIRE TX 77401|USA|||  ||JAMES TRIPPON|713-661-1040|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED-120|01/31/2006|0|0|0|0|0|0
Fort Worth District 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 businesses or institutional clients (other than investment companies)|APPROVED|08/16/2005|0|0|0|0|0|0
Fort Worth District Office| 136594|801-64745|MCHENRY CAPITAL, L.L.C.|MCHENRY CAPITAL, L.L.C.|4265 SAN FELIPE, SUITE 1100||HOUSTON TX 77027|USA|||  ||M. CARLETON MCHENRY|713-968-9815|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED-120|09/30/2005|0|0|0|0|0|0
Fort Worth District Office| 136596|801-64775|LD LOWE SR., FINANCIAL ADVISORY|LD LOWE SR., LLC|7651 MAIN STREET||FRISCO TX 75034|USA|||  ||LLOYD D. LOWE, SR.|972-335-2523|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|APPROVED-120|10/07/2005|0|0|0|0|0|0
Fort Worth District Office| 136602|801-64620|HOUSTON ENERGY ADVISORS, LLC|HOUSTON ENERGY ADVISORS, LLC|600 TRAVIS|SUITE 7400|HOUSTON TX 77002|USA|||  ||EDWIN C. HINES|303-292-3877|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|08/16/2005|0|0|0|0|0|0
Fort Worth District Office| 136641|801-64769|BRAINARD CAPITAL MANAGEMENT LLC|BRAINARD CAPITAL MANAGEMENT LLC|100 MORGAN KEEGAN DRIVE|SUITE 420|LITTLE ROCK AR 72202|USA|||  ||J. OWEN BRAINARD, JR.|501-663-0684|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|10/03/2005|0|0|0|0|0|0
Fort Worth District Office| 136654|801-64726|L & B REALTY ADVISORS, LLP|L & B REALTY ADVISORS, LLP|8750 NORTH CENTRAL EXPRESSWAY, SUITE 800||DALLAS TX 75231|USA|||  ||CARRIE D COOPER|214-989-0683|Limited Liability Partnership|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 District Office| 136667|801-64802|ANNANDALE CAPITAL, LLC|ANNANDALE CAPITAL, LLC|4514 COLE AVENUE, SUITE 1225 LB 28||DALLAS TX 75205|USA|||  ||JUDY O'POLKA|214-752-7240|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 District 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 District Office| 136863|801-64654|BCS MANAGEMENT, L.P.|BCS MANAGEMENT, L.P.|5956 SHERRY LANE|SUITE 1818|DALLAS TX 75225|USA|||  ||BRADLEY C. SHOUP|214-706-6201|Partnership|Other|APPROVED-120|09/08/2005|0|0|0|0|0|0
Fort Worth District Office| 136925|801-64962|IFRAH FINANCIAL SERVICES, INC.|IFRAH FINANCIAL SERVICES, INC.|17300 CHENAL PARKWAY|SUITE 150|LITTLE ROCK AR 72223|USA|||  ||PATRICK IFRAH|877-576-1973|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED-120|11/29/2005|0|0|0|0|0|0
Fort Worth District Office| 137045|801-64873|REDSTONE ASSET MANAGEMENT, L.P.|REDSTONE ASSET MANAGEMENT, L.P.|109 N. POST OAK LANE|SUITE 200|HOUSTON TX 77024|USA|||  ||PHILIP J. PILIBOSIAN|713-580-1825|Partnership|Other|APPROVED|11/18/2005|0|0|0|0|0|0
Fort Worth District Office| 137058|801-66302|AHRENS ADVISORS, L.P.|AHRENS ADVISORS, L.P.|1920 ABRAMS PARKWAY # 373||DALLAS TX 75214|USA|||  ||DAN AHRENS|214-934-8160|Partnership|Portfolio management for investment companies|APPROVED-120|01/31/2006|0|0|0|0|0|0
Fort Worth District Office| 137100|801-64783|MIDFIRST BANK|MIDFIRST BANK|501 NW GRAND BLVD.||OKLAHOMA CITY OK 73118-6054|USA|||  ||CHARLES R. LEE|(405) 767-7322|Corporation|Financial planning services, 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|12/08/2005|0|0|0|0|0|0
Fort Worth District 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), Selection of other advisers|APPROVED-120|11/25/2005|0|0|0|0|0|0
Fort Worth District Office| 137506|801-64900|ARMADILLO CAPITAL, L.P.|ARMADILLO CAPITAL, L.P.|300 CRESCENT COURT|SUITE 880|DALLAS TX 75201|USA|||  ||LAURA J. EATON|214.414.3950|Partnership|Other|APPROVED-120|11/15/2005|0|0|0|0|0|0
Fort Worth District Office| 137652|801-64952|CATAMOUNT CAPITAL PARTNERS|CATAMOUNT CAPITAL PARNTERS, L.P.|2602 MCKINNEY AVE.|SUITE 230|DALLAS TX 75204|USA|2602 MCKINNEY AVE.|SUITE 230|DALLAS TX 75204|USA|MATTHEW MCCRACKEN|214.336.2401|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, Market timing services|APPROVED-120|01/03/2006|0|0|0|0|0|0
Fort Worth District Office| 137713|801-65890|WASCHKA CAPITAL INVESTMENTS|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.|TOM CARLSON|501-377-7409|Corporation|Financial planning services, 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
Fort Worth District Office| 137846|801-65150|TRAFF ASSET MANAGEMENT, INC.|TRAFF ASSET MANAGEMENT, INC.|1402 SPYGLASS COURT||TYLER TX 75703|USA|||  ||DAVID TRAFF|903-561-3355|Corporation|Portfolio management for individuals and/or small businesses|APPROVED-120|02/03/2006|0|0|0|0|0|0
Fort Worth District 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-120|01/26/2006|0|0|0|0|0|0
Fort Worth District 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-120|12/16/2005|0|0|0|0|0|0
Fort Worth District 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 District Office| 138241|801-65165|THE MUTUAL FUND STORE|TMFS-SAN ANTONIO, LLC|555 EAST BASSE ROAD SUITE 206||SAN ANTONIO TX 78209|USA|||  ||SCOTT HEDRICK|913-338-2323|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Other|APPROVED-120|01/13/2006|0|0|0|0|0|0
Fort Worth District Office| 138524|801-65121|VIEO ASSET MANAGEMENT LLC|VIEO ASSET MANAGEMENT LLC|15455 N DALLAS PARKWAY|STE 1280|ADDISON TX 75001|USA|||  ||NANCY DIXON|972-865-2225|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 District 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 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
Fort Worth District 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|APPROVED-120|02/01/2006|0|0|0|0|0|0
Fort Worth District Office| 138736|801-66055|GULLANE CAPITAL LLC|GULLANE CAPITAL LLC|310 MID CONTINENT PLAZA|SUITE 440|WEST MEMPHIS AR 72303|USA|||  ||RICHARD A. MILLER, III|870-400-3515|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/03/2006|0|0|0|0|0|0
Fort Worth District Office| 138787|801-65245|SOF MANAGEMENT, LLC|SOF MANAGEMENT, LLC|600 TRAVIS|SUITE 3100|HOUSTON TX 77002|USA|||  ||JOHN T. UNGER|713-250-4296|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/15/2006|0|5|0|0|0|0
Fort Worth District Office| 138929|801-65897|SMH GROUP INVESTMENT ADVISORS INC.|SMH GROUP INVESTMENT ADVISORS INC.|600 TRAVIS, SUITE 3100||HOUSTON TX 77002|USA|||  ||JOHN T. UNGER|713-993-4645|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|02/01/2006|0|3|0|0|0|0
Fort Worth District 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-120|01/23/2006|0|0|0|0|0|0
Fort Worth District 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 District 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|||  ||JACOB PALMER|210-308-8800|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 District Office| 139563|801-66223|ORACLE ASSET ADVISORS, L.P.|ORACLE ASSET ADVISORS, L.P.|6708 CANYON CREST DRIVE||FORT WORTH TX 76132-3018|USA|||  ||MARK B. HORRELL|817-361-9257|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED-120|02/01/2006|0|0|0|0|0|0
Fort Worth District Office| 139689|801-66305|THE MUTUAL FUND STORE|TMFS-WEST PALM BEACH, LLC|11095 METCALF AVENUE||OVERLAND PARK KS 66210|USA|||  ||CHERYL DONOVAN|913-338-2323|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/09/2006|0|0|0|0|0|0
Fort Worth District 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-120|02/24/2006|0|0|0|0|0|0
Headquarters (OCIE)|  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 (OCIE)|  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 (OCIE)| 104005|801-64588|BULLTICK, LLC|BULLTICK, LLC|ALFONSON NAPOLES GANDARA|#50-2 PISO|MEXICO  01210|MEXICO|7891 WEST FLAGLER ST #557||MIAMI FL 33144|USA|CATALINA CADAVID|305-533-1541|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|08/19/2005|0|0|0|0|0|0
Headquarters (OCIE)| 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)|APPROVED|12/16/1983|0|0|0|0|0|0
Headquarters (OCIE)| 105078|801-56081|GUARDIAN CAPITAL LP|GUARDIAN CAPITAL LP|COMMERCE CT W, SUITE 3100|P.O. BOX 201|TORONTO, ONTARIO  M5L1E8|CANADA|||  ||CHRISTENSEN, VERNER C.|416-947-4093|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 (OCIE)| 105193|801-29922|HSBC INVESTMENTS (HONG KONG) LTD.|HSBC INVESTMENTS (HONG KONG) LTD.|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 investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/02/1987|0|0|0|0|0|0
Headquarters (OCIE)| 105205|801-15143|PICTET ASSET MANAGEMENT LIMITED|PICTET ASSET MANAGEMENT LIMITED|25 OLD BROAD STREET|TOWER 42 LEVEL 37|LONDON  EC2N 1HQ|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|2|0|0|0|0
Headquarters (OCIE)| 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 (OCIE)| 105555|801-61473|PERPETUITY|PERPETUITY ASSET MANAGEMENT INC|M2-1480 ESQUIMATT AVE.||WEST VANCOUVER  V7T 7K8|CANADA|P. O. BOX 91507||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 (OCIE)| 105578|801-38077|GUARDIAN BAILLIE GIFFORD LIMITED|GUARDIAN BAILLIE GIFFORD LIMITED|CALTON SQUARE|1 GREENSIDE ROW|EDINBURGH  EH1 3AN|SCOTLAND|||  ||BIBI, NASIM|+44 131 275 3033|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 (OCIE)| 105646|801-34270|PYRFORD INTERNATIONAL PLC|PYRFORD INTERNATIONAL PLC|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 (OCIE)| 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|MICHAEL W. STAMM|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 (OCIE)| 105724|801-15160|BARING INTERNATIONAL INVESTMENT LTD|BARING INTERNATIONAL INVESTMENT LTD|155 BISHOPSGATE||LONDON ENGLAND  EC2M 3XY|UNITED KINGDOM|||  ||DHILLON, MALA|+44(0)20-7628-6000|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)|APPROVED|04/15/1980|0|20|0|0|0|0
Headquarters (OCIE)| 105755|801-16776|SOCIETE D ANALYSES ECONOMIQUES ET FINANCIERES|SOCIETE D ANALYSES ECONOMIQUES ET FINANCIERES|12 RUE DU FAUBOURG ST HONORE||PARIS  75008|FRANCE|||  ||VAYSSE, JACQUES|(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 (OCIE)| 105798|801-25380|HSBC ASSET MANAGEMENT EUROPE LTD|HSBC INVESTMENTS (UK) LIMITED|78 ST JAMES'S STREET||LONDON  SW1A 1EJ|UK|||  ||HEAD, PETER CHARLES|+44 207 024 1020|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/11/1985|0|0|0|0|0|0
Headquarters (OCIE)| 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 (OCIE)| 105841|801-17305|BLUNT FRANK CHRISTOPHER JR|FRANK CHRISTOPHER BLUNT JR|3 HIGH STREET||MARLOW, BUCKS  SL7 1AU|ENGLAND|||  ||BLUNT JR, FRANK C|44-1628-476988|Sole Proprietorship|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Security ratings or pricing services|APPROVED|06/23/1982|0|0|0|0|0|0
Headquarters (OCIE)| 105870|801-28464|HSBC ASSET MANAGEMENT (TAIWAN) LIMITED|HSBC ASSET MANAGEMENT (TAIWAN) LIMITED|24TH FLOOR|99 TUNHWA SOUTH RD., SECTION 2|TAIPEI  106|TAIWAN, R.O.C.|||  ||ADELINA N Y LOUIE|011-886-2-2326-8208|Corporation|Portfolio 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 (OCIE)| 105922|801-26847|MORGAN STANLEY INVESTMENT MANAGEMENT LIMITED|MORGAN STANLEY INVESTMENT MANAGEMENT LIMITED|25 CABOT SQUARE|CANARY WHARF|LONDON  E14 4QA|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 (OCIE)| 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;604 323 - 3491|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 (OCIE)| 106034|801-24840|DAIWA SB INVESTMENTS UK LTD|DAIWA SB INVESTMENTS UK LTD|5 KING WILLIAM STREET||LONDON  EC4N 7JA|ENGLAND|||  ||FUKUMURO, EIJI|+44 (0) 20 7597-7026|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/23/1985|0|1|0|0|0|0
Headquarters (OCIE)| 106207|801-48185|BRITANNIC INVESTMENT MANAGERS LIMITED|BRITANNIC INVESTMENT MANAGERS LIMITED|BRITANNIC COURT|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 (OCIE)| 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 (OCIE)| 106508|801-9707|TAL GLOBAL ASSET MANAGEMENT INC|CIBC GLOBAL ASSET MANAGEMENT INC.|1000 DE LA GAUCHETIERE ST WEST|32ND FLOOR|MONTREAL QUEBEC H3B 4W5  H3B 4W5|CANADA|||  ||JEAN-PIERRE NADEAU|(514) 876-2139|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 (OCIE)| 106585|801-37163|SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA LTD|SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA LTD|31 GRESHAM STREET||LONDON  EC2V 7QA|UNITED KINGDOM|||  ||JEREMY WILLOUGHBY|+44 (0)20 7658 4544|Corporation|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 (OCIE)| 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|1|0|0|0
Headquarters (OCIE)| 106989|801-46669|JPMORGAN ASSET MANAGEMENT|JPMORGAN ASSET MANAGEMENT (LONDON) LIMITED|125 LONDON WALL||LONDON  EC2Y 5AJ|ENGLAND, UK|522 FIFTH AVENUE, 16TH FLOOR||NEW YORK NY 10036|USA|THOMAS J. SMITH|(212)837-1400|Corporation|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|08/16/1994|0|3|3|0|0|0
Headquarters (OCIE)| 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, Other|APPROVED|01/31/1991|0|0|0|0|0|0
Headquarters (OCIE)| 107059|801-31780|MERRILL LYNCH ASSET MANAGEMENT UK LIMITED|MERRILL LYNCH ASSET MANAGEMENT UK LIMITED|33 KING WILLIAM STREET||LONDON  EC4R 9AS|ENGLAND|GLOBAL REGISTRATION & INSURANCE LICENSING|4804 DEER LAKE DR. E., 4TH FLOOR|JACKSONVILLE FL 32246|USA|GENE E. PORTER, JR.|(904) 218-7922|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/29/1988|0|1|2|0|0|0
Headquarters (OCIE)| 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|APPROVED|06/03/1992|0|1|3|0|0|0
Headquarters (OCIE)| 107095|801-38908|PARETO, PARETO INVESTMENT MANAGEMENT LIMITED|PARETO INVESTMENT MANAGEMENT LIMITED|160 QUEEN VICTORIA STREET||LONDON  EC4V 4LA|ENGLAND|||  ||BRIAN NEWTON|+44 20 7163 1057|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/20/1991|0|0|0|0|0|0
Headquarters (OCIE)| 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 (OCIE)| 107154|801-40083|FIDUCIARY TRUST INTERNATIONAL LIMITED|FIDUCIARY TRUST INTERNATIONAL LIMITED|THE ADELPHI BUILDING, 1-11 JOHN ADAM STREET||LONDON  WC2N 6HT|ENGLAND|||  ||TIMOTHY S. STEARNS|(954) 527-7630|Corporation|Portfolio 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|0|0|0|0
Headquarters (OCIE)| 107155|801-52601|INVESCO ASSET MANAGEMENT (JAPAN) LIMITED|INVESCO ASSET MANAGEMENT (JAPAN) LIMITED|16TH FL, IMPERIAL TOWER|1-1-1 UCHISAIWAI-CHO,CHIYODA-KU|TOKYO  100-0011|JAPAN|||  ||INOUE, KENICHI|03-3506-6916|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 (OCIE)| 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|PIETER THISSEN|+31 70 378 1835|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/07/1992|0|1|0|0|0|0
Headquarters (OCIE)| 107206|801-37205|FISCHER FRANCIS TREES & WATTS|FISCHER FRANCIS TREES & WATTS|2 ROYAL EXCHANGE||LONDON  EC3V 3RA|UK|||  ||BERNBACH, ALLISON|(212) 681-3145|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 (OCIE)| 107249|801-43341|SINOPIA ASSET MANAGEMENT|SINOPIA ASSET MANAGEMENT|66 RUE DE LA CHAUSSEE D'ANTIN||PARIS FRANCE  75009|FRANCE|||  ||DIDIER DELEAGE|33-1-53325253|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/17/1993|0|0|0|0|0|0
Headquarters (OCIE)| 107302|801-12880|ABERDEEN ASSET MANAGEMENT INVESTMENT SERVICES LIMITED|ABERDEEN ASSET MANAGEMENT INVESTMENT SERVICES LIMITED|ONE BOW CHURCHYARD||LONDON  EC4M9HH|ENGLAND|||  ||RODERICK MACRAE|44-131-313-6409|Corporation|Portfolio 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 (OCIE)| 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 (OCIE)| 107383|801-47671|ROCKSPRING PROPERTY INVESTMENT MANAGERS LIMITED|ROCKSPRING PROPERTY INVESTMENT MANAGERS 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 (OCIE)| 107390|801-39502|JARISLOWSKY FRASER LTD|JARISLOWSKY, FRASER LIMITED|1010 SHERBROOKE STREET WEST|SUITE 2005|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 (OCIE)| 107429|801-43082|AKAMA ADVISERS INC|AKAMA ADVISERS INC|EL HERROJO ALTO 18|URB.LA QUINTA GOLF|SAN PEDRO  29670|SPAIN|||  ||RAYMOND ERLER|34-952-783-903|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|01/28/1993|0|0|0|0|0|0
Headquarters (OCIE)| 107432|801-37702|MONDRIAN INVESTMENT PARTNERS LIMITED|MONDRIAN INVESTMENT PARTNERS LIMITED|80 CHEAPSIDE, 3RD FLOOR||LONDON ENGLAND EC2V 6EE  EC2V6EE|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), Selection of other advisers|APPROVED|11/30/1990|0|0|1|0|0|0
Headquarters (OCIE)| 107472|801-40136|DIMENSIONAL FUND ADVISORS LTD|DIMENSIONAL FUND ADVISORS LTD|INTERPARK HOUSE|7 DOWN STREET|LONDON  W1J 7AJ|UNITED KINGDOM|||  ||CATHERINE L. NEWELL|310-395-8005|Corporation|Portfolio management for investment companies|APPROVED|11/06/1991|0|0|0|0|0|0
Headquarters (OCIE)| 107490|801-42074|AXA FRAMLINGTON OVERSEAS INVESTMENT MANAGEMENT LTD|FRAMLINGTON OVERSEAS INVESTMENT MANAGEMENT LTD|155 BISHOPSGATE||LONDON  EC2M 3XJ|UK|||  ||DAVID CROPPER OGDEN|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 (OCIE)| 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 (OCIE)| 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 (OCIE)| 107523|801-44260|PAMA GROUP INC.|PAMA GROUP INC.|32/F., ALEXANDRA HOUSE|18 CHATER ROAD|CENTRAL, HONG KONG  |PRC|||  ||MONICA TSUI|011-852-2844-1065|Corporation|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
Headquarters (OCIE)| 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 (OCIE)| 107621|801-48036|DFA AUSTRALIA LIMITED|DFA AUSTRALIA LIMITED|LEVEL 29, GATEWAY|1 MACQUARIE PLACE|SYDNEY  2000|AUSTRALIA|P.O. BOX R1830|ROYAL EXCHANGE|SYDNEY  1225|NSW, AUSTRALIA|CATHERINE L. NEWELL|310-395-8005|Corporation|Portfolio management for investment companies|APPROVED|12/01/1994|0|0|0|0|0|0
Headquarters (OCIE)| 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 (OCIE)| 107742|801-33303|T. ROWE PRICE GLOBAL ASSET MANAGEMENT LIMITED|T. ROWE PRICE GLOBAL ASSET MANAGEMENT LIMITED|60 QUEEN VICTORIA STREET||LONDON ENGLAND  EC4N 4TZ|U.K.|100 E. PRATT STREET||BALTIMORE MD 21202|U.S.|DAVID OESTREICHER|410-345-2628|Limited Liability Company|Other|APPROVED|04/21/1989|0|0|2|0|0|0
Headquarters (OCIE)| 107873|801-60013|ASIAN DIRECT CAPITAL MANAGEMENT|ASIAN DIRECT CAPITAL MANAGEMENT|68TH FLOOR TWO INTERNATIONAL FINANCE CENTRE|8 FINANCE STREET, CENTRAL|HONG KONG  |CHINA|||  ||THOMAS MIU|011 852 2103 0278|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/20/2001|0|0|0|0|0|0
Headquarters (OCIE)| 108173|801-56569|CEPINVEST|CEPINVEST SA|AL MOTT 111||ROVEREDO  CH-6535|SWITZERLAND|||  ||HEINZ SCHLUMPF|+41-91-6002060|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/17/1999|0|0|0|0|0|0
Headquarters (OCIE)| 108226|801-57909|NOMURA ASSET MANAGEMENT HONG KONG|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 (OCIE)| 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|||  ||BRIAN M. WALSH|(604) 408-6310|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 (OCIE)| 108455|801-43951|COLLER ISNARD LTD|COLLER ISNARD LTD|C/O GUERNSEY INT'NATL FUND MANAGERS LTD. POBOX 255|TRAFALGAR COURT, LES BANQUES|ST. PETER PORT  GY1 3QL|GUERNSEY, CHANNEL ISLANDS|||  ||GAVIN WESTERMAN|212-259-8532|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/22/1993|0|0|0|0|0|0
Headquarters (OCIE)| 108493|801-55066|HAMON U.S. INVESTMENT ADVISORS LTD|HAMON US INVESTMENT ADVISORS LTD|4310-15 JARDINE HOUSE|1 CONNAUGHT PLACE|CENTRAL HONG KONG  |CHINA (HKSAR)|||  ||ALEX SO|852-25264268|Corporation|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 (OCIE)| 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|||  ||PETER C CAIRNS|(852)2973 3431|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/08/1999|0|20|0|0|0|0
Headquarters (OCIE)| 108521|801-57703|OIA EUROPEAN MANAGEMENT COMPANY, LLC|OIA EUROPEAN MANAMGEMENT COMPANY, LLC|7 CLIFFORD ST||LONDON  W1X2WE|ENGLAND|ONE INTERNATIONAL PLACE||BOSTON MA 02110|USA|PAULA N. DRAKE|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|07/24/2000|0|1|1|0|0|0
Headquarters (OCIE)| 108523|801-57704|OECHSLE INTERNATIONAL ADVISORS, LTD|OECHSLE INTERNATIONAL ADVISORS, LTD|7 CLIFFORD ST||LONDON  W1X2WE|ENGLAND|ONE INTERNATIONAL PLACE||BOSTON MA 02110|USA|PAULA N. DRAKE|617-330-8810|Corporation|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|07/28/2000|0|1|1|0|0|0
Headquarters (OCIE)| 108625|801-60007|ISLAMIQ.COM (CAYMAN) LTD.|ISLAMIQ.COM (CAYMAN) LTD.|10 FENCHURCH AVENUE||LONDON, ENGLAND  EC3M 5BN|UK|||  ||ASKIR ALI|011-44-20-7663-5926|Corporation|Other|APPROVED|02/02/2001|0|0|0|0|0|0
Headquarters (OCIE)| 108666|801-55446|BELL ASSET MANAGEMENT USA INC|BELL ASSET MANAGEMENT USA INC|LEVEL 33,225 GEORGE STREET||SYDNEY  2000|AUSTRALIA|LEVEL 28 80 COLLINS STREET||MELBOURNE  3000|AUSTRALIA|GARY STRANGER|011-613-9235-1694|Corporation|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
Headquarters (OCIE)| 108667|801-54652|BELL ASSET MANAGEMENT LTD|BELL ASSET MANAGEMENT LTD|LEVEL 33, 225 GEORGE STREET||SYDNEY  2000|AUSTRALIA|LEVEL 28, 80 COLLINS STREET||MELBOURNE  3000|AUSTRALIA|GARY STRANGER|011-613-9235-1694|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/23/1997|0|0|0|0|0|0
Headquarters (OCIE)| 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 (OCIE)| 108841|801-54981|FIRST STATE INVESTMENTS (SINGAPORE)|FIRST STATE INVESTMENTS (SINGAPORE)|3 TEMASEK AVENUE #20-01|CENTENNIAL TOWER|SINGAPORE  039190|SINGAPORE|||  ||GRACE QUEK|65-6580-1326|Other (specify)|Portfolio management for investment companies|APPROVED|10/24/1997|0|0|0|0|0|0
Headquarters (OCIE)| 108855|801-55330|ARLINGTON CAPITAL INVESTORS LTD|ARLINGTON CAPITAL INVESTORS LTD|43-44 NEW BOND STREET||LONDON  W1S 2SA|UK|||  ||HENRY BLACKIE|+44-20-7647-8200|Corporation|Other|APPROVED|05/28/1998|0|0|0|0|0|0
Headquarters (OCIE)| 108899|801-57108|SG 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 businesses or institutional clients (other than investment companies)|APPROVED|12/30/1999|0|1|0|0|0|0
Headquarters (OCIE)| 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|||  ||BERNBACH, ALLISON|(212) 681-3145|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/07/1999|0|0|0|0|0|0
Headquarters (OCIE)| 109021|801-54681|FIRST STATE (HONG KONG) LLC|FIRST STATE (HONG KONG) LLC|ROOM 604-6 THREE EXCHANGE SQUARE|8 CONNAUGHT PLACE|CENTRAL HONG HONG  |CHINA|||  ||MAN, ALICE, CHING SHU|(852)28467512|Limited Liability Company|Portfolio management for investment companies|APPROVED|07/14/1997|0|0|0|0|0|0
Headquarters (OCIE)| 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|JOMAR KILNES|242-362-6400.EXT 23|Corporation|Other|APPROVED|12/31/1996|0|0|0|0|0|0
Headquarters (OCIE)| 109091|801-54946|JML PORTFOLIO MANAGEMENT AG|JML PORTFOLIO MANAGEMENT AG|BAARERSTRASSE 53||ZUG SWITZERLAND 6304  6304|SWITZERLAND|||  ||JUERG WENGER|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 (OCIE)| 109100|801-55376|ACTIVE VALUE FUND MANAGERS LTD|ACTIVE VALUE FUND MANAGERS LTD|RUE KLEBERG 6|CH 1201 GENEVA|GENEVA CH1201  |SWITZERLAND|||  ||LEONARD O'BRIEN|++41 (0)22 9081190|Corporation|Other|APPROVED|05/04/1998|0|0|0|0|0|0
Headquarters (OCIE)| 109112|801-57743|DEUTSCHE INVESTMENTS AUSTRALIA LIMITED|DEUTSCHE INVESTMENTS AUSTRALIA LIMITED|LEVEL 21|83 CLARENCE STREET|SYDNEY  NSW 2000|AUSTRALIA|||  ||PENELOPE JAMES|61(2)9249-9544|Corporation|Portfolio management for investment companies|APPROVED|07/14/2000|0|3|0|0|0|0
Headquarters (OCIE)| 109154|801-57374|PESD MANAGEMENT LTD|PESD MANAGEMENT LTD|TRAFALGAR COURT|LES BANQUES|ST. PETER PORT  GY1 3QL|GUERNSEY, CHANNEL ISLANDS|||  ||JOSEPH A. SMITH|212-259-7268|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/15/2000|0|0|0|0|0|0
Headquarters (OCIE)| 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|416-492-9760|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 (OCIE)| 109189|801-56213|APS ASSET MANAGEMENT PTE LTD|APS ASSET MANAGEMENT PTE LTD|3 ANSON ROAD|#24-03 SPRINGLEAF TOWER|SINGAPORE  079909|SINGAPORE|||  ||LU LAN FANG|(65) 6428 2160|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 (OCIE)| 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 (OCIE)| 109313|801-57655|CITIGROUP ASSET MANAGEMENT LIMITED|CITIGROUP ASSET MANAGEMENT LIMITED|CITIGROUP CENTRE, CANADA SQUARE|CANARY WHARF|LONDON  E14 5LB|ENGLAND|||  ||PAULA DENISE MARSH|44 20 7500 5911|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 (OCIE)| 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 (OCIE)| 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 (OCIE)| 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 (OCIE)| 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|||  ||NANCY ROSS|416-842-2555|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|05/11/1998|0|1|6|0|0|0
Headquarters (OCIE)| 109674|801-60132|PRONET ANALYTICS.COM|PRONET ANALYTICS.COM LIMITED|30, CITY BUSINESS CENTRE|ST. OLAV'S COURT|LONDON  SE16 2XB|UNITED KINGDOM|||  ||SHANE A. SMITH|44-(0)20-7232-3090|Corporation|Security ratings or pricing services, Other|APPROVED|03/29/2001|0|0|0|0|0|0
Headquarters (OCIE)| 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 (OCIE)| 109765|801-60198|KEMPEN CAPITAL MANAGEMENT (UK) LIMITED|KEMPEN CAPITAL MANAGEMENT (UK) LIMITED|41 MELVILLE STREET||EDINBURGH  EH37JF|SCOTLAND|||  ||MOIRA BAIGRIE|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 (OCIE)| 109840|801-57262|GUARDIAN CAPITAL ADVISORS LP|GUARDIAN CAPITAL ADVISORS LP|COMMERCE COURT WEST, SUITE 3100|P.O. BOX 201|TORONTO ONTARIO  M5L1E8|CANADA|||  ||CHRISTENSEN, C. VERNER|416-947-4093|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 (OCIE)| 109857|801-55470|REXITER CAPITAL MANAGEMENT LIMITED|REXITER CAPITAL MANAGEMENT LIMITED|21 ST. JAMES'S SQUARE||LONDON  SWIY 4SS|ENGLAND|||  ||GAVIN MACLACHLAN|011-44-20-7698-6404|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 (OCIE)| 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|||  ||TANG KA MING NELSON|852 2842 7812|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/16/1994|0|1|0|0|0|0
Headquarters (OCIE)| 109985|801-50197|INVESCO ASSET MANAGEMENT LTD.|INVESCO ASSET MANAGEMENT LTD.|30 FINSBURY SQUARE||LONDON  EC2A1AG|ENGLAND|||  ||NICK STYMAN|+442070653869|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/05/1995|0|3|0|0|0|0
Headquarters (OCIE)| 110030|801-58057|FISCHER FRANCIS TREES & WATTS KABUSHIKI KAISHA|FICSHER FRANCIS TREES & WATTS KABUSHIKI KAISHA|FUKOKU SEIMEI BUILDING 21 F|2-2, UCHISAIWAICHO 2 CHOME|TOKYO  100|JAPAN|||  ||BERNBACH, ALLISON|(212) 681-3145|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 (OCIE)| 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 (OCIE)| 110077|801-14682|DAIWA SB INVESTMENTS LTD|DAIWA SB INVESTMENTS LTD|7-9 NIHONBASHI 2 CHOME||CHUO KU, TOKYO  103-0027|JAPAN|||  ||KATSUNORI TANAKA|813-3243-1316|Corporation|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 (OCIE)| 110088|801-50261|TD ASSET MANAGEMENT USA INC.|TD ASSET MANAGEMENT USA INC.|161 BAY STREET|35TH FLOOR, CANADA TRUST TOWER|TORONTO, ONTARIO  M5J 2T2|CANADA|||  ||MICHELE R. TEICHNER|212.908.7537|Corporation|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|0|0|0|0|0
Headquarters (OCIE)| 110166|801-57137|ABN AMRO ASSET MANAGEMENT LTD|ABN AMRO ASSET MANAGEMENT LIMITED|82 BISHOPSGATE||LONDON  EC2N 4BN|UNITED KINGDOM|||  ||TURNER, A|00 44 20 7678 4426|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/11/2000|0|0|0|0|0|0
Headquarters (OCIE)| 110170|801-55645|R & I|RATING & INVESTMENT INFORMATION, INC.|NIHONBASHI 1-CHOME BLDG.,|1-4-1, NIHONBASHI, CHUO-KU|TOKYO  103-0027|JAPAN|||  ||SAITO, RYOJI|011-81-3-3276-3400|Corporation|Pension consulting services, Publication of periodicals or newsletters, Security ratings or pricing services, Market timing services, Other|APPROVED|04/28/1998|0|0|0|0|0|0
Headquarters (OCIE)| 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 (OCIE)| 110227|801-16080|MERRILL LYNCH INVESTMENT MANAGERS INTERNATIONAL, LIMITED|MERRILL LYNCH INVESTMENT MANAGERS INTERNATIONAL, LIMITED|33 KING WILLIAM STREET||LONDON  EC4R 9AS|ENGLAND|GLOBAL REGISTRATION & INSURANCE LICENSING|4804 DEER LAKE DR. E., 4TH FLOOR|JACKSONVILLE FL 32246|USA|GENE E. PORTER, JR.|(904) 218-7922|Corporation|Portfolio 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|0|1|0|0|0
Headquarters (OCIE)| 110296|801-21051|BAILLIE GIFFORD OVERSEAS LTD|BAILLIE GIFFORD OVERSEAS LTD|CALTON SQUARE|1 GREENSIDE ROW|EDINBURGH, SCOTLAND  EH1 3AN|UK|||  ||BIBI, NASIM|011 44 131 275 3033|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 (OCIE)| 110338|801-25226|MACKENZIE FINANCIAL CORPORATION|MACKENZIE FINANCIAL CORPORATION|150 BLOOR ST WEST||TORONTO, ONTARIO  M5S 3B5|CANADA|||  ||LESLEY DUNCAN|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|5|2|0|0|0
Headquarters (OCIE)| 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 (OCIE)| 110385|801-56149|HOLDUN INVESTMENT MANAGEMENT INC.|HOLDUN INVESTMENT MANAGEMENT INC.|1250 RENE LEVESQUE, BOULEVARD WEST, SUITE 3932||MONTREAL  H3B 4W8|CANADA|||  ||GRAZIELLA DI MEO|(514) 939-2777|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|02/12/1999|0|0|0|0|0|0
Headquarters (OCIE)| 110387|801-31049|THE MUTUAL FUND PUBLIC COMPANY LIMITED|MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED|LAKE RAJADA BUILDING,30TH-32ND FLOORS,|193-195 RATCHADAPHISEK RD|BANGKOK  10110|THAILAND|N/A||BANGKOK  10110|THAILAND|MR.PICHIT AKRATHIT|(662)6619000-99|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 (OCIE)| 110393|801-39478|SAKURA INVESTMENT MANAGEMENT CO LTD|SAKURA INVESTMENT MANAGEMENT CO LTD|TORANOMON MITSUI BLDG 8-1|KASUMIGASEKI 3 CHOME CHIYODA KU|TOKYO  100 0013|JAPAN|||  ||SHINICHI TANAKA|033-597-6811|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/11/1992|0|0|0|0|0|0
Headquarters (OCIE)| 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 (OCIE)| 110403|801-57802|DWM ASSET MANAGEMENT PTY LTD|DWM ASSET MANAGEMENT PTY LTD|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|Limited Liability Company|Portfolio 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 (OCIE)| 110426|801-37068|DAIWA SB INVESTMENT SINGAPORE LTD|DAIWA SB INVESTMENT SINGAPORE LTD|152 BEACH ROAD, # 06-01/02|THE GATEWAY EAST|SINGAPORE  189721|SINGAPORE|||  ||ISODA, EISUKE|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 (OCIE)| 110427|801-21068|WESTERN ASSET MANAGEMENT CO LTD|WESTERN ASSET MANAGEMENT CO LTD|155 BISHOPSGATE|LONDON|LONDON  EC2M3XG|ENGLAND|||  ||ANDREW GARNETT|011-44-20-7426-3087|Corporation|Portfolio 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 (OCIE)| 110432|801-44118|SG ASSET MANAGEMENT (SINGAPORE) LTD|SG ASSET MANAGEMENT (SINGAPORE) LTD|80 ROBINSON ROAD|#13-03|SINGAPORE  068898|SINGAPORE|||  ||WONG CHOONG KEONG|(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 (OCIE)| 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 (OCIE)| 110459|801-36504|DAIWA SB INVESTMENTS (HK) LTD|DAIWA SB INVESTMENTS (HK) LTD|SUITE 2507, LEVEL 25, ONE PACIFIC PLACE|88 QUEENSWAY|HONG KONG  |CHINA|||  ||YAMASHITA, KATSUMI|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 (OCIE)| 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, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/24/1999|0|0|0|0|0|0
Headquarters (OCIE)| 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 investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Security ratings or pricing services, Market timing services|APPROVED|10/27/1988|0|0|1|0|0|0
Headquarters (OCIE)| 110509|801-29606|BANK OF IRELAND ASSET MANAGEMENT (U.S.) LTD.|BANK OF IRELAND ASSET MANAGEMENT US LTD|40 MESPIL ROAD||DUBLIN 4  |IRELAND|75 HOLLY HILL LANE||GREENWICH CT 06830|USA|ROSEMARY MAHON|(203)869-0111|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|06/03/1987|0|1|0|0|0|0
Headquarters (OCIE)| 110556|801-55562|BMS INTERNATIONAL ADVISORS INC|BMS INTERNATIONAL ADVISORS INC|FLUR STRASSE 15||BERGLANGENBACH  55776|GERMANY|||  ||HENRY CLAY SMITH II|011-49-6789-943194|Corporation|Financial 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|06/29/1998|0|0|0|0|0|0
Headquarters (OCIE)| 110570|801-55786|PIM GESTION FRANCE, SA|PIM GESTION FRANCE, SA|5 BOULEVARD MONTMARTRE||PARIS  75002|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 (OCIE)| 110585|801-29475|AMMB CONSULTANT SDN BHD|AMMB CONSULTANT SDN BHD|9TH FLOOR BANGUNAN AMBANK GROUP|55 JALAN RAJA CHULAN|KUALA LUMPUR  50200|MALAYSIA|||  ||FIONA WAI YEN LEONG|603-2030-3019|Limited Liability Company|Portfolio management for investment companies|APPROVED|05/08/1987|0|0|0|0|0|0
Headquarters (OCIE)| 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 (OCIE)| 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 (OCIE)| 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 (OCIE)| 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 (OCIE)| 110655|801-36898|VALU-TRAC RESEARCH|MILLAR ROBERT PETER WHARTON|MAINS OF ORTON||FOCHABERS MORAY, UK  IV32 7QE|SCOTLAND|||  ||ANNE LAING|+44-1343-880217|Sole Proprietorship|Publication of periodicals or newsletters, Other|APPROVED|11/05/1990|0|0|0|0|0|0
Headquarters (OCIE)| 110668|801-64545|OLD MUTUAL ASSET MANAGERS UK LTD.|OLD MUTUAL ASSET MANAGERS UK LTD.|2 LAMBETH HILL||LONDON, ENGLAND  EC4P 4WR|UNITED KINGDOM|||  ||TESSA FORSYTH|44-207-332 -7635|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/06/2006|0|0|0|0|0|0
Headquarters (OCIE)| 110670|801-22307|GAM INTERNATIONAL MANAGEMENT LTD|GAM INTERNATIONAL MANAGEMENT LTD|12 ST JAMES PLACE||LONDON  SW1A INX|ENGLAND|||  ||FIONA NEWLANDS|+44 (0) 20 7917 2256|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/02/1984|0|1|0|0|0|0
Headquarters (OCIE)| 110691|801-57418|ALTIUS ASSOCIATES LTD|ALTIUS ASSOCIATES LTD|20 GROSVENOR PLACE|2ND FLOOR|LONDON  SW1X 7HN|UNITED KINGDOM|||  ||GEORGE GEORGHIADES|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 (OCIE)| 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 (OCIE)| 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 (OCIE)| 110734|801-40119|F&C EMERGING MARKETS LIMITED|F&C EMERGING MARKETS LIMITED|8TH FLOOR EXCHANGE HOUSE|PRIMROSE STREET|LONDON  EC2A 2NY|ENGLAND|||  ||MR ERIC MACKAY|00 44 7506 1127|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/04/1991|0|1|0|0|0|0
Headquarters (OCIE)| 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|CHARLES MACRAE|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 (OCIE)| 110768|801-50992|VALUE PARTNERS LTD|VALUE PARTNERS LTD|3301, TOWER TWO, LIPPO CENTRE|89 QUEENSWAY|HONG KONG  |HONG KONG, PRC|||  ||MS REBECCA WOO|852-2143-0358|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/02/1996|1|8|0|0|0|0
Headquarters (OCIE)| 110782|801-55142|COGESFONDS INC|COGESFONDS INC|45 DALHOUSIE||QUEBEC  G1K 8S3|CANADA|||  ||JOCELYNE AMYOT|514-284-9000|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 (OCIE)| 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 (OCIE)| 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 (OCIE)| 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 (OCIE)| 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|||  ||NEIL A. DANIELE|(212) 667-1873|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/17/1985|2|20|0|0|0|0
Headquarters (OCIE)| 110822|801-57009|LEE OVERLAY PARTNERS LTD|LEE OVERLAY PARTNERS LTD|38 WELLINGTON ROAD||DUBLIN 4  |IRELAND|||  ||ALAN BARRY|+353 1 631 8506|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/23/1999|0|0|0|0|0|0
Headquarters (OCIE)| 110843|801-55047|DLIBJ ASSET MANAGEMENT CO LTD|DLIBJ ASSET MANAGEMENT CO LTD|NEW TOKYO BUILDING 7TH FLOOR|3-1 MARUNOUCHI 3 CHOME CHIYODA-KU|TOKYO 100-0005  |JAPAN|||  ||SUGURU NISHIOKA|81-3-3216-0134|Corporation|Portfolio 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 (OCIE)| 110858|801-45435|TT INTERNATIONAL INVESTMENT MANAGEMENT|TT INTERNATIONAL INVESTMENT MANAGEMENT|MARTIN HOUSE|5 MARTIN LANE|LONDON  EC4R 0DP|UK|||  ||YINKA OSINDERO|+44 207 410 3527|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 (OCIE)| 110887|801-41265|WIRTH ASSOCIATES INC|WIRTH ASSOCIATES INC|3300 YONGE ST, STE. 302||TORONTO ONTARIO  M4N 2L6|CANADA|||  ||SHIRLEY HOM|416-482-5337|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|04/28/1992|0|0|0|0|0|0
Headquarters (OCIE)| 110888|801-56769|ACKER FINLEY ASSET MANAGEMENT USA INC.|ACKER FINLEY ASSET MANAGEMENT USA INC.|181 UNIVERSITY AVENUE|SUITE 1316|TORONTO  M5H 3M7|CANADA|||  ||MARIAN BUKLIS|416-777-0691X238|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 (OCIE)| 110893|801-46575|RECORD CURRENCY MANAGEMENT LIMITED|RECORD CURRENCY MANAGEMENT LIMITED|32 PEASCOD STREET|WINDSOR|BERKSHIRE  SL41EA|ENGLAND|||  ||STEVEN CULLEN|(44)1753 605803|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/27/1994|0|0|0|0|0|0
Headquarters (OCIE)| 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 investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/18/1991|0|0|0|0|0|0
Headquarters (OCIE)| 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 (OCIE)| 110909|801-14261|MARTIN CURRIE INC|MARTIN CURRIE INC|SALTIRE COURT|20 CASTLE TERRACE|EDINBURGH  EH1 2ES|SCOTLAND|||  ||KEITH SWINLEY|44 131 479 5977|Corporation|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 (OCIE)| 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|Portfolio management for individuals and/or small businesses, Pension consulting services, Publication of periodicals or newsletters, Security ratings or pricing services, Market timing services|APPROVED|10/07/1994|0|0|0|0|0|0
Headquarters (OCIE)| 110938|801-45731|FIDELITY INVESTMENTS JAPAN LTD|FIDELITY INVESTMENTS JAPAN LTD|SHIROYAMA JT MORI BUILDING, 19TH FLOOR|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 (OCIE)| 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|||  ||KAZUO IMAI|81-3-3544-7024|Corporation|Publication of periodicals or newsletters, Security ratings or pricing services|APPROVED|07/15/1991|0|0|0|0|0|0
Headquarters (OCIE)| 110970|801-23620|FIDELITY INTERNATIONAL INVESTMENT ADVISORS UK LTD|FIDELITY INTERNATIONAL INVESTMENT ADVISORS UK LTD|25 CANNON STREET||LONDON  EC4M5TA|ENGLAND|||  ||GRAHAM SEED|441 2950665|Corporation|Portfolio 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 (OCIE)| 110976|801-60077|ACH FINANCIAL GROUP, INC.|ACH FINANCIAL GROUP, INC.|36/2 NOVOKUZNETSKAYA STREET|BUILDING 1|MOSCOW  113154|RUSSIA|101 N. BRAND BLVD.|SUITE 1830|GLENDALE CA 91203|USA|SEDRAK MELKUMIAN|818-637-2999|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/06/2001|0|0|0|0|0|0
Headquarters (OCIE)| 110983|801-37934|NIKKO GLOBAL ASSET MANAGEMENT SINGAPORE LTD|NIKKO ASSET MANAGEMENT SINGAPORE LIMITED|77 ROBINSON RD|#30-01 SIA BLDG|SINGAPORE  068896|SINGAPORE|||  ||CINDY LIM|65 6 538 1827|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|12/14/1990|0|17|7|0|0|0
Headquarters (OCIE)| 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 (OCIE)| 110986|801-46266|CITY OF LONDON INVESTMENT MANAGEMENT COMPANY LIMITED|CITY OF LONDON INVESTMENT MANAGEMENT CO LTD|10 EASTCHEAP||LONDON  EC3M 1LX|UNITED KINGDOM|||  ||PETER O'SULLIVAN|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 (OCIE)| 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 (OCIE)| 110992|801-17900|FIRST STATE INVESTMENTS INTERNATIONAL LIMITED|FIRST STATE INVESTMENTS INTERNATIONAL LIMITED|23 ST. ANDREW SQUARE||EDINBURGH SCOTLAND  EH2 1BB|UNITED KINGDOM|||  ||JOHN DICKINSON|44(0)207 332 6539|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/04/1982|0|0|0|0|0|0
Headquarters (OCIE)| 110997|801-56686|NIKKO ASSET MANAGEMENT CO LTD|NIKKO ASSET MANAGEMENT CO LTD|1-1-3 YURAKU-CHO||CHIYODA-KU, TOKYO  100-0006|JAPAN|||  ||TOMOMI SHIMATANI|81-3-5157-6535|Corporation|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|08/09/1999|0|20|7|0|0|0
Headquarters (OCIE)| 111001|801-57710|HOULIHAN ROVERS S.A.|HOULIHAN ROVERS S.A.|CHAUSSEE DE LA HULPE 166||1170 BRUSSELS  |BELGIUM|||  ||W. JOSEPH HOULIHAN|(32) 2 679 0660|Corporation|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 (OCIE)| 111035|801-56222|COLLER INVESTMENT MANAGEMENT LTD|COLLER INVESTMENT MANAGEMENT LTD|TRAFALGAR COURT|LES BANQUES|ST. PETER PORT  GY1 6BW|GUERNSEY C.I.|||  ||GAVIN WESTERMAN|212-259-8532|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/01/1999|0|0|0|0|0|0
Headquarters (OCIE)| 111038|801-30801|NIKKO GLOBAL ASSET MANAGEMENT (UK) LTD|NIKKO GLOBAL ASSET MANAGEMENT (UK) LTD|ALDERMARY HOUSE|15 QUEEN STREET|LONDON  EC4N 1UA|UNITED KINGDOM|||  ||MICHAEL MULHOLLAND|UK + 44 20 7248 0592|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/13/1988|0|18|7|0|0|0
Headquarters (OCIE)| 111103|801-21347|FIDELITY INTERNATIONAL INVESTMENT ADVISORS|FIDELITY INTERNATIONAL INVESTMENT ADVISORS|PEMBROKE HALL|42 CROW LANE|PEMBROKE  HM19|BERMUDA|||  ||GRAHAM SEED|441 2950665|Corporation|Portfolio 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|7|2|0|0|0|0
Headquarters (OCIE)| 111123|801-19710|BBL CAPITAL MANAGEMENT CORP SA NV|BBL CAPITAL MANAGEMENT CORP SA NV|24 AVENUE MARNIX||BRUSSELS  1000|BELGIUM|||  ||DE GROOTE ODILON|3225472286|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/23/1983|0|0|0|0|0|0
Headquarters (OCIE)| 111129|801-44048|DAIWA INSTITUE OF RESEARCH LTD|DAIWA INSTITUE OF RESEARCH LTD|15-6 FUYUKI|KOUTOU KU|TOKYO  135-8460|JAPAN|RESEARCH PRODUCT MANAGEMENT DEPARTMENT|10F EITAI-DAIYA BLD. 14-5,EITAI 1-CHOME,KOTO-KU|TOKYO  135-0034|JAPAN|SUSUMU OKANO|212-612-6184|Corporation|Publication of periodicals or newsletters|APPROVED|06/04/1993|0|0|0|0|0|0
Headquarters (OCIE)| 111161|801-57186|GP BULLHOUND LTD.|GP BULLHOUND LTD.|50 ALBEMARLE STREET||LONDON  W1S 4BD|UNITED KINGDOM|||  ||CHRISTIAN LAGERLING|+44 2075295806|Corporation|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|03/10/2000|0|0|0|0|0|0
Headquarters (OCIE)| 111180|801-41804|SOUTH OCEAN MANAGEMENT LTD.|SOUTH OCEAN MANAGEMENT LTD.|ROOM 2212 22/F|NO. 3 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 (OCIE)| 111182|801-52461|COUTTS & CO INVESTMENT MANAGEMENT LTD.|COUTTS & CO INVESTMENT MANAGEMENT LTD.|440 STRAND||LONDON  WC2R 0QS|UK|||  ||SALLY DOYLE|011-44-20-7753-1000|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/01/1996|1|13|0|0|0|0
Headquarters (OCIE)| 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 (OCIE)| 111213|801-52978|LLOYDS TSB OFFSHORE PRIVATE CLIENTS LIMITED|LLOYDS TSB OFFSHORE PRIVATE CLIENTS LIMITED|P.O. BOX 195, 7 BOND STREET,|ST HELIER|JERSEY, CHANNEL ISLANDS  JE4 8RS|UNITED KINGDOM|||  ||JANE LE SUEUR|44 1534 503175|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|11/07/1996|0|0|0|0|0|0
Headquarters (OCIE)| 111259|801-46564|SCOTTISH WIDOWS INVESTMENT PARTNERSHIP LTD|SCOTTISH WIDOWS INVESTMENT PARTNERSHIP LTD|EDINBURGH ONE MORRISON STREET||EDINBURGH  EH3 8BE|UK|||  ||IAIN ROBB|001-44-131-655-7280|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|06/10/1994|0|2|0|0|0|0
Headquarters (OCIE)| 111319|801-54311|MFM INTERNATIONAL|MORLEY FUND MANAGEMENT INTERNATIONAL LIMITED|1 POULTRY||LONDON  EC2R 8EJ|UNITED KINGDOM|||  ||MIKE STOPP|+ 44 207 809 6268|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/14/1997|0|1|0|0|0|0
Headquarters (OCIE)| 111329|801-56170|STANDARD LIFE INVESTMENTS (PRIVATE EQUITY) LIMITED|STANDARD LIFE INVESTMENTS (PRIVATE EQUITY) LIMITED|1 GEORGE STREET||EDINBURGH  EH2 2LL|UNITED KINGDOM|||  ||JOANNE JONES|011 44 131 245 6422|Corporation|Other|APPROVED|01/08/1999|0|0|0|0|0|0
Headquarters (OCIE)| 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 businesses or institutional clients (other than investment companies)|APPROVED|05/03/2001|0|0|0|0|0|0
Headquarters (OCIE)| 111360|801-55170|FRANKLIN TEMPLETON INVESTMENT MANAGEMENT LIMITED|FRANKLIN TEMPLETON INVESTMENT MANAGEMENT LIMITED|5 MORRISON STREET||EDINBURGH  EH3 8BH|SCOTLAND|||  ||TIMOTHY S. STEARNS|(954) 527-7630|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/20/1998|0|3|0|0|0|0
Headquarters (OCIE)| 111364|801-58185|FRANKLIN TEMPLETON INVESTMENTS CORP.|FRANKLIN TEMPLETON INVESTMENTS CORP.|1 ADELAIDE STREET EAST|SUITE 2101|TORONTO (ONTARIO)  M5C 3B8|CANADA|||  ||BRAD G. BEUTTENMILLER|(416) 957-6010 X6010|Corporation|Portfolio 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|0|0|0|0
Headquarters (OCIE)| 111381|801-44399|BROWN ASSET MANAGEMENT PTY LTD|BROWN MICHAEL WILLIAM|49 BROOK STREET||HAWTHORN (VIC)  3122|AUSTRALIA|||  ||MICHAEL BROWN|98180557|Corporation|Financial planning services, 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 (OCIE)| 111382|801-46997|TEMPLETON ASSET MANAGEMENT LTD.|TEMPLETON ASSET MANAGEMENT LTD.|7 TEMASEK BLVD., SUNTEC TOWER 1|#38-03|SINGAPORE  038987|SINGAPORE|||  ||ALEXANDER T. EDWARDS|(852) 2829-0626|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/19/1994|0|3|0|0|0|0
Headquarters (OCIE)| 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|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/22/1992|0|3|0|0|0|0
Headquarters (OCIE)| 111449|801-50765|CHESCOR INTERNATIONAL LTD|CHESCOR INTERNATIONAL LTD|3RD FLOOR LES CASCADE BLDG|EDITH CAVELL ST|PORT LOUIS  |MAURITIUS|||  ||R H DADEN|44 207 355 5015|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/16/1996|0|0|0|0|0|0
Headquarters (OCIE)| 111510|801-56642|TROIKA DIALOG ASSET MANAGEMENT|TROIKA DIALOG ASSET MANAGEMENT CAYMAN ISLANDS LTD|4, ROMANOV PER., 4TH FLOOR||MOSCOW  103009|RUSSIA|||  ||NATALIA AGAPOVA|70952580534|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/24/1999|0|0|0|0|0|0
Headquarters (OCIE)| 111512|801-51783|TROIKA DIALOG ASSET MANAGEMENT|ZAO ASSET MANAGEMENT CO TROIKA DIALOG|4,ROMANOV PER, 4TH FLOOR||MOSCOW  103009|RUSSIA|||  ||KOKSHAROVA MARIA|70952580534|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 (OCIE)| 111522|801-52158|KAZIMIR PARTNERS (UK) LIMITED|KAZIMIR PARTNERS (UK) LIMITED|16-20 ELY PLACE|AUDREY HOUSE|LONDON  ECIN 6SN|UNITED KINGDOM|||  ||KAREN CLARKE|+44 (0)20 7400 6900|Corporation|Other|APPROVED|08/07/1996|0|0|0|0|0|0
Headquarters (OCIE)| 111523|801-52157|KAZIMIR PARTNERS LIMITED|KAZIMIR PARTNERS LIMITED|WALKERS SPV LIMITED|WALKER HOUSE, MARY STREET, PO BOX 908 GT|GEORGE TOWN  |CAYMAN ISLANDS|||  ||MESCHA CHRISTIAN|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 (OCIE)| 111553|801-65019|BDT INVEST|BDT INVESTMENT MANAGEMENT LIMITED|52 JERMYN STREET||LONDON  SW1Y 6LX|ENGLAND|||  ||RHONDA PARRY|+44 20 76591350|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/25/2006|0|0|0|0|0|0
Headquarters (OCIE)| 111598|801-44724|F&C MANAGEMENT LIMITED|F&C MANAGEMENT LIMITED|EXCHANGE HOUSE|8TH FLOOR, PRIMROSE STREET|LONDON  EC2A 2NY|ENGLAND|||  ||MR ERIC MACKAY|00 44 7506 1127|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/10/1993|0|1|0|0|0|0
Headquarters (OCIE)| 111603|801-60288|BEACON CAPITAL MANAGEMENT LIMITED|BEACON CAPITAL MANAGEMENT LIMITED|HARBOUR HOUSE, 2ND FLOOR|WATERFRONT DRIVE|ROAD TOWN, TORTOLA  00000|BRITISH VIRGIN ISLANDS|PO BOX 972||ROAD TOWN, TORTOLA  00000|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 (OCIE)| 111825|801-60205|BAY MOUNT CAPITAL RESOURCES, LLC|BAY MOUNT CAPITAL RESOURCES, LLC|360 QUILCHENA DRIVE||KELOWNA  V1W 4Y9|BRITISH COLUMBIA, CANADA|||  ||ANTHONY LYONS|617-731-7845|Limited Liability Company|Pension consulting services|APPROVED|04/20/2001|0|0|0|0|0|0
Headquarters (OCIE)| 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 (OCIE)| 111887|801-23517|CUNDILL INVESTMENT RESEARCH LTD.|CUNDILL INVESTMENT RESEARCH LTD.|1055 WEST GEORGIA STREET|SUITE 2150, ROYAL CENTRE|VANCOUVER  V6E 3R5|CANADA|||  ||LISA PANKRATZ|604-601-8324|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/28/1984|0|0|0|0|0|0
Headquarters (OCIE)| 111900|801-60152|NORTHERN TRUST GLOBAL INVESTMENTS LTD|NORTHERN TRUST GLOBAL INVESTMENTS LTD|50 BANK STREET|CANARY WHARF|LONDON  E145NT|ENGLAND|||  ||NEAL FRANKLIN|+44 207/982-2599|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 (OCIE)| 111977|801-57018|EVERGREEN MANAGEMENT LTD.|EVERGREEN MANAGEMENT LTD.|96 ROTHSCHILD BLVD||TEL AVIV  65224|ISRAEL|||  ||DANA GREENFELD|972-3-710-8282|Corporation|Other|APPROVED|11/18/1999|0|0|0|0|0|0
Headquarters (OCIE)| 112057|801-60991|FAIRSON MANAGEMENT LIMITED|FAIRSON MANAGEMENT LIMITED|68 BONHAM STRAND WEST|68 BONHAM STRAND WEST|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 (OCIE)| 112061|801-60209|TACTICAL GLOBAL MANAGEMENT (UK) LIMITED|TACTICAL GLOBAL MANAGEMENT (UK) LIMITED|2ND FLOOR, 20 SHORTS GARDENS|COVENT GARDEN|LONDON  WC2H 9AU|UNITED KINGDOM|||  ||MELANIE DAVIS|+442074209058|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/27/2001|0|0|0|0|0|0
Headquarters (OCIE)| 112077|801-55577|HENDERSON INVESTMENT MANAGEMENT LTD.|HENDERSON INVESTMENT MANAGEMENT LIMITED|4 BROADGATE||LONDON  EC2M 2DA|UK|||  ||BRIAN ROWE|+44-20-7818 4975|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 (OCIE)| 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|Corporation|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 (OCIE)| 112171|801-45363|GENSEC ASSET MANAGEMENT GIBRALTAR LTD|GENSEC ASSET MANAGEMENT GIBRALTAR LTD|10/8 INTERNATIONAL COMMERCIAL CENTRE|CASEMATES SQUARE|GIBRALTAR  |GIBRALTAR|||  ||JOHN VAN HELDEN|+2721 9502736|Corporation|Portfolio management for investment companies|APPROVED|12/06/1993|0|0|0|0|0|0
Headquarters (OCIE)| 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|7|0|0|0|0
Headquarters (OCIE)| 112225|801-58273|EQYTY RESEARCH AND MANAGEMENT, LTD.|EQYTY RESEARCH AND MANAGEMENT, LTD.|ARAWAK CHAMBERS/SEA MEADOW HOUSE/||ROADTOWN  |TORTOLA BVI|27 BEAVER PLACE||BOSTON MA 02108-3303|USA|JEFFREY DEAN FOTTA|617-742-0600|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/02/2001|0|0|1|0|0|0
Headquarters (OCIE)| 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|||  ||ADRIAN BUTTERWORTH|44 20 7653 4764|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|02/13/1998|0|0|0|0|0|0
Headquarters (OCIE)| 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|||  ||JANET CORSTORPHIN|011-81(3) 4550 5274|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|04/01/1997|0|6|0|0|0|0
Headquarters (OCIE)| 112321|801-45949|LANDWAY ESTATES,INC|SOFAIR ISAAC|34-36 STAMFORD RD.||LONDON, ENGLAND  N 1 4JL|UNITED KINGDON|||  ||ISAAC SOFAIR|301 654 4474|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|02/24/1994|0|0|0|0|0|0
Headquarters (OCIE)| 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|0|0|0|0|0
Headquarters (OCIE)| 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 (OCIE)| 112410|801-51254|SCEPTRE INVESTMENT COUNSEL LIMITED|SCEPTRE INVESTMENT COUNSEL LIMITED|26 WELLINGTON ST EAST STE 1200||TORONTO ONTARIO  M5E1W4|CANADA|||  ||BETTY B. HORTON|416 360-4804|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 (OCIE)| 112551|801-55109|ASHMORE INVESTMENT MANAGEMENT LTD|ASHMORE INVESTMENT MANAGEMENT LTD|20 BEDFORDBURY 2ND FLOOR||LONDON  WC2N 4BL|UNITED KINGDOM|||  ||MARK GRIMWOOD|207 557 4100|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 (OCIE)| 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 (OCIE)| 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 businesses or institutional clients (other than investment companies)|APPROVED|08/20/2001|0|0|0|0|0|0
Headquarters (OCIE)| 112769|801-55989|CREDICORP SECURITIES INC|CREDICORP SECURITIES INC|CREDICORP BANK BLDG 50TH STREET||PANAMA  |REPUBLIC OF PANAMA|PO BOX 833-0125||PANAMA  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 (OCIE)| 112806|801-54043|JOHN MORRELL ADVISORY SERVICES|JOHN MORRELL ADVISORY SERVICES LIMITED|126 JERMYN STREET||LONDON  SW1Y 4UJ|UNITED KINGDOM|||  ||DAVID MORRIS|011-44-207-747-6970|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/14/1997|0|1|0|0|0|0
Headquarters (OCIE)| 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 (OCIE)| 112876|801-60255|DATAMONITOR|DATAMONITOR PLC|CHARLES HOUSE 108-110 FINCHLEY ROAD||LONDON  NW3 5JJ|UNITED KINGDOM|||  ||EIMEAR O BRIEN|+44 (0) 207 675 7014|Other (specify)|Publication of periodicals or newsletters, Other|APPROVED|05/25/2001|0|0|0|0|0|0
Headquarters (OCIE)| 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 (OCIE)| 112892|801-60767|CREDIT SUISSE PRIVATE ADVISORS|EFFUS AG|BAHNHOFSTRASSE 78||ZURICH  8001|SWITZERLAND|P.O. BOX 550||ZURICH  8070|SWITZERLAND|CHRISTOPHER FREEZE|011-411-334-0030|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|11|0|0|0|0
Headquarters (OCIE)| 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 (OCIE)| 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 (OCIE)| 113130|801-32619|UNIT TRUST OF INDIA INVESTMENT ADVISORY SERVICES LIMITED|UNIT TRUST OF INDIA INVESTMENT ADVISORY SERVICES LIMITED|COMMERCE CENTER 1, 8TH FLOOR|UNIT II, WORLD TRADE CENTRE COMPLEX, CUFFE PARADE|MUMBAI  400 005|INDIA|||  ||R. RANGARAJAN|9122-208-2526|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/09/1988|0|0|0|0|0|0
Headquarters (OCIE)| 113158|801-45640|AEGON ASSET MANAGEMENT|AEGON ASSET MANAGEMENT UK PLC|AEGON HOUSE, 3 LOCHSIDE AVENUE|EDINBURGH PARK|EDINBURGH  EH129SA|UNITED KINGDOM|||  ||ADAM GRAINGER|44-131-549-3853|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/17/1994|0|0|0|0|0|0
Headquarters (OCIE)| 113463|801-40177|CREDIT SUISSE ASSET MANAGEMENT LIMITED|CREDIT SUISSE ASSET MANAGEMENT LIMITED|BEAUFORT HOUSE|15 ST. BOTOLPH STREET|LONDON (ENGLAND)  EC3A 7JJ|UK|||  ||DAVID COLLINS|++ 44 20 7426 2795|Corporation|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|1|0|0|0|0
Headquarters (OCIE)| 113465|801-60416|SCB ASSET MANAGEMENT CO., LTD.|SCB ASSET MANAGEMENT CO., LTD.|SINDHORN BLDG. TOWER 3, 23RD FL.|130-132 WIRELESS RD., PHRATUMWAN|BANGKOK  10330|THAILAND|||  ||ADISORN SERMCHAIWONG|011-662-263-2800|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|07/30/2001|0|0|0|0|0|0
Headquarters (OCIE)| 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,|GRAND CENTRAL TOWER, 42ND FLOOR|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 (OCIE)| 113623|801-56150|NISSAY ASSET MANAGEMENT CORPORATION|NISSAY ASSET MANAGEMENT CORPORATION|1-6-6, MARUNOUCHI|CHIYODA-KU|TOKYO  100-8219|JAPAN|||  ||KOJIRO HIROSE|+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|0|0|0|0|0
Headquarters (OCIE)| 113629|801-60422|UBS INVESTMENT ADVISORS LTD.|UBS INVESTMENT ADVISORS LTD.|1 CURZON STREET||LONDON  W1J 5HB|UNITED KINGDOM|||  ||ZACHARY JOHNSON|44 20 7567 4079|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|08/03/2001|0|2|0|0|0|0
Headquarters (OCIE)| 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, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/31/2001|0|0|0|0|0|0
Headquarters (OCIE)| 113739|801-57644|AVEBURY ASSET MANAGEMENT LIMITED|AVEBURY ASSET MANAGEMENT LIMITED|ELIZABETH HOUSE, LEVEL 6|39 YORK ROAD|LONDON  SE1 7NQ|UNITED KINGDOM|||  ||MICHAEL DALEY|011442079611500|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/30/2000|0|0|0|0|0|0
Headquarters (OCIE)| 113793|801-49702|ECONOSTAT INTERNATIONAL CORPORATION|ECONOSTAT INTERNATIONAL CORPORATION|6 RUE ADOLPHE FISCHER||L-1520  L-1520|LUXEMBOURG|HENNERTON HOUSE||WARGRAVE, BERKSHIRE  RG10 8PD|UNITED KINGDOM|CHARLES DIAMOND|+44 1189 40 41 41|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/19/1995|0|0|0|0|0|0
Headquarters (OCIE)| 113858|801-52140|ODEY ASSET MANAGEMENT LLP|ODEY ASSET MANAGEMENT LLP|12 UPPER GROSVENOR ST||LONDON  W1K 2ND|UK|||  ||TIM PEAREY|0207 208 1456|Limited Liability Partnership|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/12/1996|0|0|0|0|0|0
Headquarters (OCIE)| 114257|801-49353|GOODMAN & CO NY LTD.|GOODMAN & CO NY LTD.|40 KING ST. WEST|SUITE 5500|TORONTO, ONTARIO  M5H 4A9|CANADA|||  ||BENJAMIN J. EGGERS|416.365.2404|Corporation|Financial 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 (OCIE)| 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 (OCIE)| 114527|801-21981|M&G INVESTMENT MANAGEMENT LTD.|M&G INVESTMENT MANAGEMENT LTD.|GOVERNORS 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)|APPROVED|08/02/1984|0|0|0|0|0|0
Headquarters (OCIE)| 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 (OCIE)| 114567|801-60586|PALL MALL PARTNERS|PALL MALL PARTNERS LIMITED|52A CROMWELL ROAD||LONDON, ENGLAND  SW7 5BE|UNITED KINGDOM|||  ||RICHARD ANDREA RAPAZZINI|+44 20 7590 1343|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 (OCIE)| 114642|801-50826|ANALYST EXCHANGE AND TRADING SERVICES LTD.|ANALYST EXCHANGE AND TRADING SERVICES LTD.|ALROV TOWER, 46 ROTHSCHILD BLVD.||TEL AVIV  66883|ISRAEL|||  ||SHILONI EHUD|972-3-7147147|Corporation|Portfolio management for investment companies|APPROVED|12/03/1995|0|0|0|0|0|0
Headquarters (OCIE)| 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 (OCIE)| 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|||  ||ALEXANDER T. EDWARDS|(852) 2829-0626|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/17/2001|0|3|0|0|0|0
Headquarters (OCIE)| 114908|801-55692|LASALLE INVESTMENT MANAGEMENT SECURITIES B.V.|LASALLE INVESTMENT MANAGEMENT SECURITIES B.V.|HERENGRACHT 471||AMSTERDAM  1017 BS|NETHERLANDS|||  ||GORDON REPP|312-228-2755|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|07/10/1998|0|0|0|0|0|0
Headquarters (OCIE)| 115170|801-45575|INVESTEC ASSET MANAGEMENT BVI LTD.|INVESTEC ASSET MANAGEMENT BVI LTD.|PO BOX 438   ROAD TOWN||TORTOLA  00000|BRITISH VIRGIN ISLANDS|||  ||LEATITIA|++27214161706|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/06/1994|0|0|0|0|0|0
Headquarters (OCIE)| 115788|801-62077|SARASIN ASSET MANAGEMENT LIMITED|SARASIN ASSET MANAGEMENT LIMITED|JUXON HOUSE|100 ST PAUL'S CHURCHYARD|LONDON  EC4M 8BU|UNITED KINGDOM|||  ||GUY V. MATTHEWS|+44 207 038 7129|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|06/06/2003|0|0|0|0|0|0
Headquarters (OCIE)| 116264|801-60675|VALU-TRAC INVESTMENT RESEARCH LIMITED|VALU-TRAC INVESTMENT RESEARCH LIMITED|MAINS OF ORTON||FOCHABERS, MORAY  IV327QE|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 (OCIE)| 116641|801-60662|CELFIN CAPITAL|CELFIN CAPITAL SERVICIOS FINANCIEROS S.A.|APOQUINDO 3721 PISO 19||SANTIAGO  |CHILE|||  ||JUAN ANDRES CAMUS|011-562-490-5000|Corporation|Portfolio management for investment companies, Other|APPROVED|10/25/2001|0|0|0|0|0|0
Headquarters (OCIE)| 117842|801-60917|STRATEGIC ADVISORS CORP.|STRATEGIC ADVISORS CORP.|1311 YONGE STREET||TORONTO, ONTARIO  M4T 3B6|CANADA|||  ||RANDALL ABRAMSON|416-956-9330|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 (OCIE)| 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|242-327-4235|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 (OCIE)| 118090|801-60865|CHARLEMAGNE CAPITAL (IOM) LIMITED|CHARLEMAGNE CAPITAL (IOM) LIMITED|REGENT HOUSE|16-18 RIDGEWAY STREET|DOUGLAS  IM1 1EN|ISLE OF MAN, BRITISH ISLES|||  ||ALISON BURGESS|44 1624 640221|Other (specify)|Portfolio management for investment companies|APPROVED|01/23/2002|0|0|0|0|0|0
Headquarters (OCIE)| 118317|801-61105|SENTRY SELECT CAPITAL CORP.|SENTRY SELECT CAPITAL CORP.|130 KING ST WEST|SUITE 2850|TORONTO  M5X 1A4|CANADA|||  ||P. JILL FRICK|(416) 861-8729|Corporation|Portfolio management for investment companies, Other|APPROVED|04/26/2002|0|0|0|0|0|0
Headquarters (OCIE)| 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|||  ||MANABU FUKUDA|813-5156-5251|Corporation|Portfolio management for investment companies|APPROVED|02/19/2002|0|2|0|0|0|0
Headquarters (OCIE)| 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 (OCIE)| 118648|801-60992|CREDIT SUISSE ASSET MANAGEMENT (AUSTRALIA) LIMITED|CREDIT SUISSE ASSET MANAGEMENT (AUSTRALIA) LIMITED|LEVEL 32 GATEWAY BUILDING|1 MACQUARIE PLACE|SYDNEY  2000|AUSTRALIA, NEW SOUTH WALES|||  ||ANNETTE GOLDEN|612 8205 4080|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|4|1|0|0|0
Headquarters (OCIE)| 118701|801-60846|VACHIR LLC|VACHIR LLC|440 LAURIER AVE. WEST, SUITE 200||OTTAWA  K1R 7X6|CANADA|||  ||BIPIN C. PATHAK|(613) 860-8224|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/10/2002|0|0|0|0|0|0
Headquarters (OCIE)| 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 (OCIE)| 119534|801-60977|ROSS SMITH ENERGY GROUP LTD.|ROSS SMITH ENERGY GROUP LTD.|407 8TH AVENUE, S.W., SUITE 400||CALGARY  T2P IE5|CANADA|||  ||DAVID MCGOEY|403-294-6497|Corporation|Publication of periodicals or newsletters, Security ratings or pricing services|APPROVED|03/04/2002|0|0|0|0|0|0
Headquarters (OCIE)| 119591|801-60983|DEUTSCHE ASSET MANAGEMENT (ASIA) LIMITED|DEUTSCHE ASSET MANAGEMENT (ASIA) LIMITED|20 RAFFLES PLACE|#27-01 OCEAN TOWERS|SINGAPORE  048620|SINGAPORE|||  ||JENNIFER DAVIES|65-6423 5664|Corporation|Portfolio management for investment companies|APPROVED|03/22/2002|0|3|0|0|0|0
Headquarters (OCIE)| 119604|801-61040|QUADRIGA INVESTMENT ADVISORY, INC.|QUADRIGA INVESTMENT ADVISORY, INC.|GRAND ANSE||ST. GEORGE'S  |GRENADA, WEST INDIES|P.O. BOX 1594 GRAND ANSE||ST. GEORGE'S  |GRENADA, WEST INDIES|KONRAD KOENIGSWIESER|+1-473-405-3064|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/29/2002|0|0|0|0|0|0
Headquarters (OCIE)| 119773|801-61286|DOMINION BOND RATING SERVICE LIMITED|DOMINION BOND RATING SERVICE LIMITED|200 KING STREET WEST, SUITE 1304||TORONTO, ONTARIO  M5H 3T4|CANADA|||  ||PAMELA NARAIN|416-593-5577 X2292|Corporation|Other|APPROVED|07/16/2002|0|0|0|0|0|0
Headquarters (OCIE)| 119846|801-61067|IMPERIAL INVESTMENT ADVISORS PRIVATE LIMITED|IMPERIAL INVESTMENT ADVISORS PRIVATE LIMITED|SUITE NO. 6 SATGURU BUSINESS CENTRE|31 REGENCY CHAMBERS|BANDRA (WEST)  400 050|MUMBAI, INDIA|||  ||DEBORAH KABACK|(212)667-4395|Corporation|Other|APPROVED|04/23/2002|0|3|0|0|0|0
Headquarters (OCIE)| 120186|801-61258|DEUTSCHE INVESTMENT TRUST MANAGEMENT COMPANY LIMITED|DEUTSCHE INVESTMENT TRUST MANAGEMENT COMPANY LIMITED|19F, YOUNGPOONG BUILDING|33, SEORIN-DONG, CHONGRO-KU|SEOUL  110-752|KOREA|||  ||JIN-KWON CHUNG|822 724 7460|Corporation|Portfolio management for investment companies|APPROVED|07/09/2002|0|1|0|0|0|0
Headquarters (OCIE)| 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|Portfolio management for investment companies|APPROVED|01/27/2004|0|0|2|0|0|0
Headquarters (OCIE)| 120531|801-61245|MD PRIVATE INVESTMENT MANAGEMENT (US) INC.|MD PRIVATE INVESTMENT MANAGEMENT (US) INC.|1870 ALTA VISTA DRIVE||OTTAWA  K1G 6R7|CANADA|||  ||F. ROBERT HEWETT|613-731-4552|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|07/01/2002|0|0|0|0|0|0
Headquarters (OCIE)| 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|MARIE GINETTE COX|(441) 298-5674|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|07/12/2002|0|0|1|0|0|0
Headquarters (OCIE)| 120761|801-61549|ESD MANAGEMENT III LIMITED|ESD MANAGEMENT III LIMITED|TRAFALGAR COURT, LES BANQUES||ST PETER PORT  GY1 3QL|GUERNSEY-CI|||  ||JOSEPH A. SMITH|212-259-7268|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/24/2002|0|0|0|0|0|0
Headquarters (OCIE)| 120776|801-61248|SIGMA ALPHA ASSET MANAGEMENT LIMITED|SIGMA ALPHA ASSET MANAGEMENT LIMITED|HOUSE 2041, ROAD 3870, BLOCK 738||AALI  |BAHRAIN|||  ||YUEN FONG LEOW|973-943-3498|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/13/2002|0|0|0|0|0|0
Headquarters (OCIE)| 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|416-814-4096|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 (OCIE)| 121024|801-61289|TRADERISKS LTD.|TRADERISKS LIMITED|3 DEVONSHIRE SQUARE||LONDON  EC2M 4YA|UK|||  ||ALEX PILATO|+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 (OCIE)| 121591|801-61491|FOYSTON, GORDON & PAYNE INC.|FOYSTON, GORDON & PAYNE INC.|151 YONGE STREET|SUITE 1208|TORONTO  M5C 2W7|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)|APPROVED|10/04/2002|0|0|0|0|0|0
Headquarters (OCIE)| 121685|801-61360|VANGUARD INVESTMENTS EUROPE SA|VANGUARD INVESTMENTS EUROPE SA|WATERLOO OFFICE PK DREVE RICHELLE 161 BLDG P|B-1410|WATERLOO  |BELGIUM|||  ||IAN ALCOCK|011 32 2 357 1411|Other (specify)|Other, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/02/2002|0|0|0|0|0|0
Headquarters (OCIE)| 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|MICHAEL W. STAMM|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 (OCIE)| 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 (OCIE)| 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 businesses or institutional clients (other than investment companies)|APPROVED|09/04/2002|0|0|2|0|0|0
Headquarters (OCIE)| 122793|801-61494|BLUEBAY ASSET MANAGEMENT LIMITED|BLUEBAY ASSET MANAGEMENT LIMITED|TIMES PLACE|THIRD FLOOR, 45 PALL MALL|LONDON  SW1Y 5JG|ENGLAND|||  ||SUSANNA LAM|+44 207 389 3768|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/07/2002|0|0|0|0|0|0
Headquarters (OCIE)| 123170|801-61552|CEDAR ROCK CAPITAL LIMITED|CEDAR ROCK CAPITAL LIMITED|NUFFIELD HOUSE|41-46 PICCADILLY|LONDON  W1J 0DS|UNITED KINGDOM|||  ||JOY ISABELLE BESSE|44-0207499 1234|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/04/2002|0|0|0|0|0|0
Headquarters (OCIE)| 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 (OCIE)| 123557|801-61736|GRYPHON INTERNATIONAL INVESTMENT CORPORATION|GRYPHON INTERNATIONAL INVESTMENT CORPORATION|20 BAY STREET|SUITE 1905|TORONTO  M5J 2N8|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 (OCIE)| 124308|801-62208|GLOBURSA S.R.L.|GLOBURSA S.R.L.|AVENIDA BUSCH #520|CASILLA #6966|SANTA CRUZ  |BOLIVIA|||  ||FERNANDO DIAZ|5913-337-8100|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/28/2003|0|0|0|0|0|0
Headquarters (OCIE)| 124330|801-61690|CROSS ASSET MANAGEMENT LTD|CROSS ASSET MANAGEMENT LTD|3 NEW BURLINGTON STREET||LONDON  W1S 2JF|BRITAIN|||  ||DAVID LINSLEY|44 2072925130|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/15/2003|0|0|0|0|0|0
Headquarters (OCIE)| 124389|801-61658|FINVISION FINANCIAL ADVISORY COMPANY|CHEN, HUI-CHAN|6F-1, 65, SEC 3 MEI-CHUAN WEST ROAD.|BEI CHIU|TAICHUNG  404|TAIWAN|||  ||KELLY CHEN|886-4-2291-1091|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/02/2003|0|0|0|0|0|0
Headquarters (OCIE)| 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 (OCIE)| 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 (OCIE)| 124925|801-64731|RATHBONE INVESTMENT MANAGEMENT LIMITED|RATHBONE INVESTMENT MANAGEMENT LIMITED|PORT OF LIVERPOOL BUILDING|PIER HEAD|LIVERPOOL  L3 1NW|ENGLAND|||  ||CLIVE MASON|0044 207 399 0107|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|11/16/2005|0|0|0|0|0|0
Headquarters (OCIE)| 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  M4W 1E5|CANADA|200 BLOOR STREET EAST||TORONTO  M4W 1E5|CANADA|GORDON PANSEGRAU|416-926-5685|Corporation|Portfolio management for investment companies|APPROVED|03/20/2003|0|0|2|0|0|0
Headquarters (OCIE)| 125239|801-61823|LAXEY PARTNERS LIMITED|LAXEY PARTNERS LIMITED|THE OLD CHAPEL|ONCHAN|ISLE OF MAN  IM3 1NA|UNITED KINGDOM|||  ||CHRISTOPHER BRUCE|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 (OCIE)| 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 (OCIE)| 126032|801-61894|T.ROWE PRICE GLOBAL INVESTMENT SERVICES LIMITED|T.ROWE PRICE GLOBAL INVESTMENT SERVICES LIMITED|60 QUEEN VICTORIA STREET||LONDON ENGLAND  EC4N 4TZ|UNITED KINGDOM|100 EAST  PRATT STREET||BALTIMORE MD 21202|U.S.|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 (OCIE)| 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|212-762-7206|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|07/21/2003|0|0|0|0|0|0
Headquarters (OCIE)| 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 0163 862233|Corporation|Financial planning services, Other|APPROVED|05/23/2003|0|0|0|0|0|0
Headquarters (OCIE)| 126268|801-62082|HSBC ASSET MANAGEMENT (INDIA) PRIVATE LIMITED|HSBC ASSET MANAGEMENT (INDIA) PRIVATE LIMITED|52/6O MAHATMA GANDHI ROAD|FORT|MUMBAI, MAHARASHTRA  400001|INDIA|||  ||KASHMIRA MATHEW|+91 22 22681870|Other (specify)|Other|APPROVED|06/24/2003|0|2|0|0|0|0
Headquarters (OCIE)| 126342|801-61997|FOCUS INVESTMENT LTD.|FOCUS INVESTMENT LTD.|FB PERRY BUILDING, 2ND FLOOR|40 CHURCH STREET|HAMILTON  HM12|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 (OCIE)| 126351|801-61998|FOCUS INVESTMENT MANAGEMENT LTD.|FOCUS INVESTMENT MANAGEMENT LTD.|FB PERRY BULDING, 2ND FLOOR|40 CHURCH STREET|HAMILTON  HM12|BERMUDA|||  ||CRAIG ECKMAN|441-296-5888|Corporation|Selection of other advisers, Other|APPROVED|04/28/2003|0|0|0|0|0|0
Headquarters (OCIE)| 126396|801-61972|AIC INVESTMENT SERVICES INC.|AIC INVESTMENT SERVICES INC.|1375 KERNS ROAD||BURLINGTON, ONTARIO  L7R 4X8|CANADA|||  ||MARCIA STEWART|905-331-4250 EXT 4365|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|6|0|0|0
Headquarters (OCIE)| 126476|801-62083|UMBRELLA INVESTMENTS|UMBRELLA INVESTMENTS, LTD|PRIV. DE TAMARINDOS 30-102||MEXICO  05110|MEXICO|||  ||JAVIER LAVIN|011525552593740|Corporation|Portfolio management for individuals and/or small businesses, Market timing services|APPROVED|05/23/2003|0|0|0|0|0|0
Headquarters (OCIE)| 126536|801-61995|SOUNDVEST CAPITAL MANAGEMENT LTD.|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 (OCIE)| 126572|801-62166|AIM TRIMARK INVESTMENTS|AIM FUNDS MANAGEMENT INC.|5140 YONGE STREET|SUITE 900|TORONTO, ONTARIO  M2N 6X7|CANADA|||  ||SUSAN HAN|416-228-4789|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/20/2003|0|0|0|0|0|0
Headquarters (OCIE)| 126683|801-62108|ASSET MANAGEMENT|PICHARDO ASSET MANAGEMENT, S.A. DE C.V.|TEOPANZOLCO AVENUE # 408,|3RD. FLOOR REFORMA|CUERNAVACA  62260|MEXICO|||  ||FRANCISCO MANUEL LOPEZ RAMIREZ|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 (OCIE)| 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 (OCIE)| 127106|801-62164|VICKERS MANAGEMENT & RESEARCH LLC|VICKERS MANAGEMENT & RESEARCH LLC|MANAGED FROM - 5000-4A ESTATE ENIGHED #99||ST.JOHN  00830|VIRGIN ISLANDS|||  ||DAMON W. VICKERS|800-326-4600|Limited Liability Company|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, Other|APPROVED|06/20/2003|1|0|0|0|0|0
Headquarters (OCIE)| 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 (OCIE)| 127600|801-62408|ASPECT CAPITAL LIMITED|ASPECT CAPITAL LIMITED|NATIONS HOUSE|103 WIGMORE STREET|LONDON  W1U1QS|UK|||  ||EMMA LOVE|011442071709700|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/01/2003|0|0|0|0|0|0
Headquarters (OCIE)| 127624|801-63708|INVERSIONES ALLEN LUCE|INVERSIONES ALLEN LUCE, SOCIEDAD ANONIMA|AVENIDA CENTRAL & CALLE CENTRAL, DIAGONAL AL BANCO|2NDO PISO, MANOLO'S RESTAURANTE|SAN JOSE  |COSTA RICA|||  ||JOHN LUCE|203-775-2153|Corporation|Financial planning services, Selection of other advisers|APPROVED|01/03/2005|0|0|0|0|0|0
Headquarters (OCIE)| 127626|801-63768|CET CAPITAL, LLC|CET CAPITAL, LLC|ITURBIDE #501, DEPTO. 2||PUERTO VALLARTO  48306|MEXICO|827 UNION PACIFIC, PMB 078-176||LAREDO TX 78045-9452|USA|DAMIAN C. CAMPBELL|888-884-6468|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, Market timing services|APPROVED|01/03/2005|0|0|0|0|0|0
Headquarters (OCIE)| 128022|801-62322|CIMB-GK SECURITIES (UK) LTD|CIMB-GK SECURITIES (UK) LTD|1 QUEEN ANNE'S GATE||LONDON  SW1H9BT|ENGLAND|||  ||JOANNE ATKINS|44 20 7233 1221|Limited Liability Company|Other|APPROVED|09/24/2003|0|0|0|0|0|0
Headquarters (OCIE)| 128130|801-62394|KV SERVICES (CAYMAN) LIMITED|KV SERVICES (CAYMAN) LIMITED|UGLAND HOUSE SOUTH CHURCH STREET||GEORGE TOWN  |GRAND CAYMAN|FIRST SECURITIES (MONACO) SAM|20 BD DE SUISSE|MONACO  MC 98000|PRINCIPALITY OF MONACO|PATRICK DEWEZ|+377 9325 0977|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/16/2003|0|0|0|0|0|0
Headquarters (OCIE)| 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 (OCIE)| 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 investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/04/2003|0|0|0|0|0|0
Headquarters (OCIE)| 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|2|0|0|0|0
Headquarters (OCIE)| 128504|801-62435|HIM MONEGY, INC.|HIM MONEGY, INC.|302 BAY STREET, 12TH FLOOR||TORONTO  M5X 1A1|CANADA|||  ||MARCHILDON, LORI JANE|416/359-8097|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 (OCIE)| 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 (OCIE)| 128945|801-62570|LANSDOWNE PARTNERS LIMITED|LANSDOWNE PARTNERS LIMITED|15 DAVIES STREET||LONDON  W1K 3AG|UNITED KINGDOM|||  ||YW TAI|44-20-7290-5512|Corporation|Other|APPROVED|01/02/2004|0|0|0|0|0|0
Headquarters (OCIE)| 129453|801-62509|VAMOUTIE FINANCIAL SERVICES LLC|VAMOUTIE FINANCIAL SERVICES, LLC|1 RUE DOLOMIEU||PARIS  75005|FRANCE|||  ||FRANCK V. BAKAYOKO|+33 6 0777 7893|Limited Liability Company|Financial planning services, Portfolio management for investment companies|APPROVED|11/07/2003|0|0|0|0|0|0
Headquarters (OCIE)| 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|||  ||ELSIE TOK LEE CHING|65-6878-7800|Corporation|Portfolio management for investment companies|APPROVED|01/26/2004|0|0|0|0|0|0
Headquarters (OCIE)| 129765|801-62952|SEAMARK ASSET MANAGEMENT LTD.|SEAMARK ASSET MANAGEMENT LTD.|310 - 1801 HOLLIS STREET||HALIFAX  B3J 3N4|CANADA|||  ||BRENT BARRIE|902-425-3551|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 (OCIE)| 129836|801-62665|SHAUNESSY INVESTMENT COUNSEL|SHAUNESSY & CO. LTD.|908 17TH AVENUE SW, SUITE 308||CALGARY  T2T 0A3|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 (OCIE)| 130301|801-62889|WELLINGTON MANAGEMENT INTERNATIONAL LTD.|WELLINGTON MANAGEMENT INTERNATIONAL LTD.|STRATTON HOUSE|STRATTON STREET|LONDON  W1J 8LA|UNITED KINGDOM|||  ||CARL BALDWIN|44-20-7339-8896|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/09/2004|0|1|3|0|0|0
Headquarters (OCIE)| 130528|801-62782|HEDGING-GRIFFO SERVIOS INTERNACIONAIS LTDA.|HEDGING-GRIFFO SERVIOS INTERNACIONAIS LTDA.|AV. PRES. JUSCELINOKUBITSCHEK,|1830 TORRE III 7 AND VILA NOVA CONCEICAO|SAO PAVLO  04543900|BRAZIL|||  ||TALITA FITTIPALDI|551137048623|Limited Liability Company|Portfolio 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 (OCIE)| 130628|801-62812|FORE INTERNATIONAL, LP|FORE INTERNATIONAL, LP|6TH FLOOR DUKES COURT|32 DUKE STREET|ST. JAMES'S LONDON  SW1Y6DF|ENGLAND|||  ||CARLTON THOMPSON|212 984 3813|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/01/2004|0|0|0|0|0|0
Headquarters (OCIE)| 130640|801-62943|GIVERNY CAPITAL|GIVERNY CAPITAL INC.|300 SAINT - SACREMENT;|BUREAU 304|MONTREAL  H2Y 1X4|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 (OCIE)| 130668|801-63660|UBS SWISS FINANCIAL ADVISERS|UBS SWISS FINANCIAL ADVISERS AG|LOEWENSTRASSE 49||ZURICH  8001|SWITZERLAND|P.O. BOX||ZURICH  8098|SWITZERLAND|DANIEL HEINI|+41/1 234 4004|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/03/2004|0|3|0|0|0|0
Headquarters (OCIE)| 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 (OCIE)| 130824|801-65723|ECOFIN LIMITED|ECOFIN LIMITED|15 BUCKINGHAM STREET||LONDON  WC2N 6DU|UNITED KINGDOM|||  ||JOHN H. MURRAY|44 207 451 2929|Corporation|Other|APPROVED|01/27/2005|0|0|0|0|0|0
Headquarters (OCIE)| 130948|801-63019|GENESIS ASSET MANAGERS, LLP|GENESIS ASSET MANAGERS, LLP|BARCLAYS COURT, LES ECHELONS|ST. PETER PORT|GUERNSEY, CHANNEL ISLANDS  GY1 6BA|UK|PO BOX 475|ST. PETER PORT|GUERNSEY, CHANNEL ISLANDS  GY1 6BA|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 (OCIE)| 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 (OCIE)| 130958|801-62972|LANSDOWNE PARTNERS LIMITED PARTNERSHIP|LANSDOWNE PARTNERS LIMITED PARTNERSHIP|15 DAVIES STREET||LONDON  W1K 3AG|UNITED KINGDOM|||  ||YW TAI|44-20-7290-5512|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/24/2004|0|0|0|0|0|0
Headquarters (OCIE)| 131106|801-63020|GENESIS FUND MANAGERS, LLP|GENESIS FUND MANAGERS, LLP|BARCLAYS COURT, LES ECHELONS|ST. PETER PORT|GUERNSEY, CHANNEL ISLANDS  GY1 6AW|UNITED KINGDOM|BOX 466|ST. PETER PORT|GUERNSEY, CHANNEL ISLANDS  GY1 6AW|UNITED KINGDOM|MARGUERITE MILLS|+44 0 20 7201 7200|Limited Liability Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/27/2004|0|0|0|0|0|0
Headquarters (OCIE)| 131113|801-63103|OAK TREE GLOBAL FINANCIAL SERVICES LLP|OAK TREE GLOBAL FINANCIAL SERVICES LLP|7 ALBEMARLE STREET||LONDON  W1S4HQ|ENGLAND|20547 OLD CUTLER RD. # 123||MIAMI FL 33189|USA|ARTURO DUBSON|972 26783768|Limited Liability Partnership|Portfolio management for individuals and/or small businesses|APPROVED|05/07/2004|0|0|0|0|0|0
Headquarters (OCIE)| 131168|801-63196|THREADNEEDLE INVESTMENTS|THREADNEEDLE INTERNATIONAL LTD.|60 ST. MARY AXE||LONDON  EC3A 8JQ|UK|||  ||WILLIAM LOWNDES|011-44-20-7464-5341|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 (OCIE)| 131437|801-63089|JULIUS BAER INVESTMENTS LIMITED|JULIUS BAER INVESTMENTS LIMITED|24 BEVIS MARKS||LONDON  EC3A 7NE|UNITED KINGDOM|||  ||IAN BEAZLEY|+44 (0)20 7648 2694|Corporation|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
Headquarters (OCIE)| 131799|801-63376|HEXAVEST INC.|HEXAVEST INC.|1100 RENE-LEVESQUE WEST|SUITE 1340|MONTREAL, PROVINCE QUEBEC  H3B 4N4|CANADA|||  ||LAVOIE MARC CHRISTOPHER|(514) 390-1144|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/24/2004|0|0|1|0|0|0
Headquarters (OCIE)| 131820|801-63244|MISTER JIMMY INC.|MISTER JIMMY INC.|166 LEADVILLE RD|UNIT 360|MANSONVILLE  J0E 1X0|PQ, CANADA|14 HARWOOD COURT|SUITE 310|SCARSDALE NY 10583|USA|STEVEN TSOKANOS|450-292-0220|Corporation|Publication of periodicals or newsletters|APPROVED|06/29/2004|0|0|0|0|0|0
Headquarters (OCIE)| 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 (OCIE)| 132028|801-63536|GEMS MANAGEMENT|GEMS MANAGEMENT LIMITED|NORFOLK HOUSE, 1ST FLOOR|FREDERICK STREET, PO BOX CB12809|NASSAU  |BAHAMAS|||  ||CEDRIC CARROLL|(242) 326-1904|Other (specify)|Other|APPROVED|10/06/2004|0|0|0|0|0|0
Headquarters (OCIE)| 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 (OCIE)| 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 (OCIE)| 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|0|0|0|0
Headquarters (OCIE)| 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 (OCIE)| 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 (OCIE)| 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 (OCIE)| 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 (OCIE)| 132718|801-63555|FIDELITY GESTION|FIDELITY GESTION|WASHINGTON PLAZA|29 RUE DE BERRI|PARIS  75008|FRANCE|||  ||DONATIENNE CHAPELAIN|00-331-7304-3508|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/06/2004|0|0|0|0|0|0
Headquarters (OCIE)| 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 (OCIE)| 132796|801-63714|EDINBURGH PARTNERS LIMITED|EDINBURGH PARTNERS LIMITED|CBC HOUSE|24 CANNING STREET|EDINBURGH, MIDLOTHIAN  EH3 8EG|UNITED KINGDOM|||  ||K GREIG|(44) 131 272 2701|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
Headquarters (OCIE)| 132802|801-63523|FORE ASIA LIMITED|FORE ASIA LIMITED|3404-3405 ALEXANDRIA HOUSE|16-20 CHATER ROAD, CENTRAL|HONG KONG SAR  |HONG KONG|||  ||HENRY TOY|212 984 3816|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/29/2004|0|0|0|0|0|0
Headquarters (OCIE)| 132905|801-63679|MARITIME INVESTMENT MANAGEMENT INC.|MARITIME INVESTMENT MANAGEMENT INC.|310 1801 HOLLIS STREET||HALIFAX NS  B3J 3N4|CANADA|||  ||BRENT BARRIE|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 (OCIE)| 133064|801-63602|HERCULES CAPITAL ADVISORS LLC|HERCULES CAPITAL ADVISORS LLC|HOUSE 46, SECTOR 37||NOIDA UTTAR PRADESH  201301|INDIA|82 WALL STREET|SUITE 311|NEW YORK NY 10005|USA|SARBVIR SINGH|212 809-2550|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/26/2004|0|0|0|0|0|0
Headquarters (OCIE)| 133066|801-63600|SKY INVESTMENT COUNSEL INC.|SKY INVESTMENT COUNSEL INC.|ONE ADELAIDE STREET EAST|SUITE 2310|TORONTO, ON  M5C 2V9|CANADA|||  ||JENNIFER WITTERICK|4166237501|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 (OCIE)| 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 (OCIE)| 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), Selection of other advisers|APPROVED|01/03/2005|0|0|0|0|0|0
Headquarters (OCIE)| 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 (OCIE)| 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 (OCIE)| 133621|801-63781|TAL GLOBAL ADVISERS LTD|CIBC GLOBAL ASSET MANAGEMENT (USA) LTD.|1000 DE LA GAUCHETIERE ST WEST|32ND FLOOR|MONTREAL, QUEBEC  H3B 4W5|CANADA|||  ||JEAN-PIERRE NADEAU|(514) 876-2139|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 (OCIE)| 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 (OCIE)| 133670|801-63814|NEWSMITH ASSET MANAGEMENT LLP|NEWSMITH ASSET MANAGEMENT LLP|LANSDOWNE HOUSE|57 BERKELEY SQUARE|LONDON  W1J 6ER|UNITED KINGDOM|||  ||ZEESHAN KANJI|+4420 7518 3809|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 (OCIE)| 133770|801-63996|SAAM INVESTMENTS|SAAM INVESTMENTS, INC.|AVE. FEDERICO BOYD, EDIFICIO SCOTIA PLAZA,|10TH FLOOR|PANAMA CITY  55-0829|REPUBLIC OF PANAMA|P.O. BOX 55-0829||PANAMA CITY  PAITILLA|PANAMA|CRISTOBAL CORTES|(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 (OCIE)| 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 (OCIE)| 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 (OCIE)| 134229|801-64478|SOLENT CAPITAL PARTNERS LLP|SOLENT CAPITAL PARTNERS LLP|4TH FLOOR|30 CHARLES II STREET|LONDON  SW1Y4AE|UNITED KINGDOM|||  ||JOY-ISABELLE BESSE|+44 20 7499 1234|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 (OCIE)| 134254|801-64215|CLAYMORE INVESTMENTS, INC.|CLAYMORE INVESTMENTS, INC.|170 UNIVERSITY AVE.|SUITE 901|TORONTO  M5H 3B3|CANADA|170 UNIVERSITY AVE.|SUITE 901|TORONTO  M5H 3B3|CANADA|NICHOLAS DALMASO|630/505-3736|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/05/2005|0|0|0|0|0|0
Headquarters (OCIE)| 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 (OCIE)| 134531|801-64022|ACCESS CAPITAL ADVISORS (GUERNSEY)LTD|ACCESS CAPITAL ADVISORS (GUERNSEY)LTD|13-15 VICTORIA ROAD||ST PETER PORT  GY1 3ZD|GUERNSEY|||  ||DOMINIQUE PENINON|+44(0)1481-713-843|Corporation|Other|APPROVED|03/07/2005|0|0|0|0|0|0
Headquarters (OCIE)| 134534|801-65616|YORK ASSET MANAGEMENT LIMITED|YORK ASSET MANAGEMENT LIMITED|LAGOON COURT, SUITE 203|SANDY PORT, BOX N-1717|NASSAU  |BAHAMAS|PO BOX N-1717||NASSAU, NP  |BAHAMAS|STEPHEN NICHOLAS WALKER|1-242-565 7048|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|02/28/2006|0|0|0|0|0|0
Headquarters (OCIE)| 134661|801-66073|MUSE CAPITAL LLP|MUSE CAPITAL LLP|6TH FLOOR, FINLAND HOUSE|56 HAYMARKET|LONDON  SW1Y 4RN|GREAT BRITAIN|||  ||GARY GREENBERG|44-20-7976-2886|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 (OCIE)| 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|||  ||KENJI NISHIYAMA|03-5437-9866|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/16/2005|0|0|0|0|0|0
Headquarters (OCIE)| 134876|801-64314|HSBC ALTERNATIVE INVESTMENTS LIMITED|HSBC HALBIS PARTNERS (UK) LIMITED|78 ST. JAMES'S STREET||LONDON, ENGLAND  SW1A 1EJ|UK|||  ||PETER HEAD|44 207 024 1020|Corporation|Other|APPROVED|08/01/2005|0|0|0|0|0|0
Headquarters (OCIE)| 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 (OCIE)| 135378|801-65136|AURIEL CAPITAL MANAGEMENT LLP|AURIEL CAPITAL MANAGEMENT LLP|24 UPPER BROOK STREET||LONDON  W1K 7QB|UNITED KINGDOM|||  ||LARRY ABELE|+44-207-495-4006|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 (OCIE)| 135441|801-64296|TETREM CAPITAL PARTNERS|TETREM CAPITAL PARTNERS LTD.|1508 - 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 (OCIE)| 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 9200|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/30/2005|0|0|0|0|0|0
Headquarters (OCIE)| 135539|801-64639|BI ASSET MANAGEMENT|BI ASSET MANAGEMENT FONDSMAEGLERSELSKAB A/S|SUNDKROGSGADE 7||COPENHAGEN  2100|DENMARK|||  ||PHILIP HAGE|+45 77309022|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|09/19/2005|0|0|0|0|0|0
Headquarters (OCIE)| 135568|801-64947|BOYER ALLAN INVESTMENT MANAGEMENT LLP|BOYER ALLAN INVESTMENT MANAGEMENT LLP|29 QUEEN ANNE'S GATE||LONDON  SWIH 9BU|UNITED KINGDOM|||  ||JENNY MURLEY|+44 20 7222 8808|Limited Liability Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/10/2006|0|0|0|0|0|0
Headquarters (OCIE)| 135623|801-64400|DGAM|DIVERSIFIED GLOBAL ASSET MANAGEMENT INC|200 BAY STREET|SUITE 3201|TORONTO  M5J 2J4|CANADA|||  ||JEFF LUCASSEN|416-644-7594|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/23/2005|0|0|0|0|0|0
Headquarters (OCIE)| 135650|801-64659|CAMBRIAN|CAMBRIAN CAPITAL PARTNERS LLP|34 THREADNEEDLE STREET|1ST FLOOR|LONDON  EC2R 8AY|UNITED KINGDOM|||  ||CHRIS STURDEE|+44 20 7847 4202|Limited Liability Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/16/2005|0|0|0|0|0|0
Headquarters (OCIE)| 135725|801-64920|DE CAPITAL MANAGEMENT LLP|DE CAPITAL MANAGEMENT LLP|2ND FLOOR RIVER COURT MILL LANE|GODALMING|SURREY  GU7 1EY|UNITED KINGDOM|||  ||STEVE BURTON|44-1483-791119|Limited Liability Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/04/2006|0|0|0|0|0|0
Headquarters (OCIE)| 135783|801-64950|TOSCAFUND LIMITED|TOSCAFUND LIMITED|90 LONG ACRE, 7TH FLOOR||LONDON  WC2E 9RA|UNITED KINGDOM|||  ||ZOE BRINTON|+20 7845 6100|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/02/2005|0|0|0|0|0|0
Headquarters (OCIE)| 135829|801-64420|BEUTEL, GOODMAN & COMPANY LTD.|BEUTEL, GOODMAN & COMPANY LTD.|20 EGLINTON AVENUE WEST|P.O. BOX 2005, SUITE 2000|TORONTO, ONTARIO  M4R 1K8|CANADA|||  ||MICHAEL J. GIBSON|416-932-6337|Corporation|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
Headquarters (OCIE)| 135831|801-64877|MPC INVESTORS LIMITED|MPC INVESTORS LIMITED|26 ECCLESTON SQUARE||LONDON  SW1V 1NS|UNITED KINGDOM|||  ||IAN WESTON|020 7932 2792|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/26/2006|0|0|0|0|0|0
Headquarters (OCIE)| 135849|801-64522|HORSEMAN CAPITAL MANAGEMENT LIMITED|HORSEMAN CAPITAL MANAGEMENT LIMITED|9 CHESTER CLOSE, BELGRAVIA||LONDON  SWIX 7BE|UNITED KINGDOM|||  ||CHRISTOPHER HARRISON|+44-207-838-7580|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/29/2005|0|0|0|0|0|0
Headquarters (OCIE)| 135852|801-64896|POWE CAPITAL MANAGEMENT, LLP|POWE CAPITAL MANAGEMENT, LLP|4TH FLOOR, KINGSBURY HOUSE|15-17 KING STREET|LONDON  SW1Y 6QU|UK|||  ||RAZA KHAN|020-7024-7000|Limited Liability Partnership|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
Headquarters (OCIE)| 135915|801-64505|ATLANTIC EQUITIES LLP|ATLANTIC EQUITIES LLP|15 ST. HELEN'S PLACE||LONDON  EC3A 6DQ|UNITED KINGDOM|||  ||HAMILTON FABER|011-44-207-382-2904|Limited Liability Partnership|Other|APPROVED|07/19/2005|0|0|0|0|0|0
Headquarters (OCIE)| 135960|801-64725|JPMORGAN ASSET MANAGEMENT|JPMORGAN ASSET MANAGEMENT (UK) LIMITED|125 LONDON WALL||LONDON  EC2Y 5AJ|ENGLAND, UK|522 FIFTH AVENUE, 16TH FLOOR||NEW YORK NY 10036|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|1|3|0|0|0
Headquarters (OCIE)| 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 (OCIE)| 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 2843 9389|Corporation|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|0|0|0|0|0
Headquarters (OCIE)| 136017|801-64484|GSI (BERMUDA) LTD.|GSI (BERMUDA) LTD.|CLARENDON HOUSE|2 CHURCH STREET|BERMUDA  HM11|USA|C/O GSI MANAGEMENT LTD.|1204A LIPPO CENTER, TOWER II|ADMIRALTY  |HONG KONG|BENSON FUNG|852 28684880|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/25/2005|0|0|0|0|0|0
Headquarters (OCIE)| 136133|801-64644|POLAR CAPITAL|POLAR CAPITAL LLP|4 MATTHEW PARKER STREET||LONDON  SW1H 9NP|UNITED KINGDOM|||  ||JOHN MANSELL|00 44 207 227 2700|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/19/2005|0|0|0|0|0|0
Headquarters (OCIE)| 136149|801-65142|CPM ADVISERS LIMITED|CPM ADVISERS LIMITED|BUCHANAN HOUSE, LEVEL 3|3 ST. JAMES'S SQUARE|LONDON  SW1Y 4JU|UNITED KINGDOM|||  ||WILLIAM LAVELLE|44-207-925-8350|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/13/2006|0|0|0|0|0|0
Headquarters (OCIE)| 136174|801-64510|OFFSHORE INVESTMENT ADVISOR|BRIDGEWATER, JAMES, LIONEL|THE TERRACES|BELMONT PARK|TORTOLA  00000|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 (OCIE)| 136225|801-64630|FAXTOR|FAXTOR SECURITIES B.V.|STRAWINSKYLAAN 377||AMSTERDAM  1077 XX|THE NETHERLANDS|||  ||F.H. WESSELING|31-20-7988517|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 (OCIE)| 136248|801-65041|VERITAS ASSET MANAGEMENT (UK) LIMITED|VERITAS ASSET MANAGEMENT (UK) LIMITED|ELIZABETH HOUSE, 39 YORK ROAD||LONDON  SE1 7NQ|UNITED KINGDOM|||  ||JACQUELINE GOOCH|011442079611424|Corporation|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
Headquarters (OCIE)| 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 (OCIE)| 136427|801-65322|TREMONT (BERMUDA) LIMITED|TREMONT (BERMUDA) LIMITED|TREMONT HOUSE 4 PARK ROAD||HAMILTON  HM 11|BERMUDA|||  ||JAMES G. MCCORMICK|914-925-1143|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/17/2006|0|20|2|0|0|0
Headquarters (OCIE)| 136438|801-65898|NEW FINANCE CAPITAL LLP|NEW FINANCE CAPITAL LLP|100 BROMPTON ROAD||LONDON  SW3 1ER|UNITED KINGDOM|||  ||ALAN THOMAS|+ 44 207-591-2500|Limited Liability Partnership|Selection of other advisers|APPROVED|02/01/2006|0|0|0|0|0|0
Headquarters (OCIE)| 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 (OCIE)| 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 (OCIE)| 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 (OCIE)| 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 (OCIE)| 136616|801-65111|PRODIGY CAPITAL PARTNERS LLP|PRODIGY CAPITAL PARTNERS LLP|4 ST JAMES'S PLACE||LONDON  SW1A 1NP|UNITED KINGDOM|||  ||DAVID TURNBULL|0207 495 2219|Limited Liability Partnership|Other|APPROVED|01/25/2006|0|0|0|0|0|0
Headquarters (OCIE)| 136626|801-64770|LEEWARD HEDGE FUNDS INC.|LEEWARD HEDGE FUNDS INC.|SUITE 2100 - 2 BLOOR STREET WEST||TORONTO  M4W 3E2|CANADA|||  ||ROBERT ORR|416-482-0487|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/30/2005|0|0|0|0|0|0
Headquarters (OCIE)| 136647|801-66059|ABSOLUTE CAPITAL MANAGEMENT HOLDINGS LIMITED|ABSOLUTE CAPITAL MANAGEMENT HOLDINGS LIMITED|ONE CAYMAN HOUSE, 215 NORTH CHURCH STREET|P.O. BOX 10630 APO|GRAND CAYMAN  |CAYMAN ISLANDS|||  ||SEAN EWING|3459257035|Other (specify)|Other|APPROVED|01/30/2006|0|1|1|0|0|0
Headquarters (OCIE)| 136746|801-64913|MARBLE BAR ASSET MANAGEMENT LLP|MARBLE BAR ASSET MANAGEMENT LLP|FOURTH FLOOR 11 OLD JEWRY||LONDON  EC 2R 8DU|ENGLAND|||  ||STEPHEN SALES|44(0) 207-509-7469|Limited Liability Partnership|Other|APPROVED|01/18/2006|0|0|0|0|0|0
Headquarters (OCIE)| 136759|801-64631|AKO CAPITAL LLP|AKO CAPITAL LLP|29-30 ST. JAMES'S STREET||LONDON  SW1A 1HB|UNITED KINGDOM|||  ||DAVID WOODBURN|44 (0) 207 070 2420|Limited Liability Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/22/2005|0|0|0|0|0|0
Headquarters (OCIE)| 136766|801-65168|HORIZON ASSET LIMITED|HORIZON ASSET LIMITED|WASHINGTON HOUSE|40 CONDUIT STREET|LONDON  W1S 2YQ|UNITED KINGDOM|||  ||SUSAN RICHARDS|44 207 297 3526|Corporation|Other|APPROVED|01/27/2006|0|0|0|0|0|0
Headquarters (OCIE)| 136772|801-65266|HDH ADVISORS (HK) LIMITED|HDH ADVISORS (HK) LIMITED|UNIT A, 12/F|ONE ON HING TERRACE, CENTRAL|HONG KONG  |CHINA|||  ||TINA LEUNG|852 3171 3074|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/30/2006|0|0|0|0|0|0
Headquarters (OCIE)| 136823|801-65456|DB ABSOLUTE RETURN STRATEGIES LIMITED|DB ABSOLUTE RETURN STRATEGIES LIMITED|ONE APPOLD STREET||LONDON  EC2A 2UU|ENGLAND|||  ||ANTHONY CONTE|212-454-1879|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/27/2006|0|1|0|0|0|0
Headquarters (OCIE)| 136854|801-65040|MARSHALL WACE LLP|MARSHALL WACE LLP|THE ADELPHI BUILDING, 1-11 JOHN ADAM ST.||LONDON  WC2N 6HT|UNITED KINGDOM|||  ||ROBERT BROWN|+ 44 20 7925 7623|Limited Liability Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/19/2006|0|1|0|0|0|0
Headquarters (OCIE)| 136901|801-65252|BLACKHORSE ASSET MANAGEMENT PTE. LDT.|BLACKHORSE ASSET MANAGEMENT PTE. LTD.|38-06 SINGAPORE LAND TOWER|50 RAFFLES PLACE|SINGAPORE  048623|SINGAPORE|||  ||PAUL T. RUBENS|+65-6327-4906|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/20/2006|0|0|0|0|0|0
Headquarters (OCIE)| 136934|801-65633|JK INVESTMENT MANAGEMENT LLP|JK INVESTMENT MANAGEMENT LLP|UNIT 53, THE SURREY TECHNOLOGY CENTRE|THE SURREY RESEARCH PARK|GUILFORD  GU2 7YG|UNITED KINGDOM|||  ||FRANCIS KIRKPATRICK|44 1483 688 021|Limited Liability Partnership|Other|APPROVED|01/26/2006|0|0|0|0|0|0
Headquarters (OCIE)| 136937|801-65987|THE OXFORD ASSET MANAGEMENTCOMPANY LIMITED|THE OXFORD ASSET MANAGEMENTCOMPANY LIMITED|BROAD STREET||OXFORD  OX1 3BP|UNITED KINGDOM|||  ||STEPHEN HUYTON|+44 1865 248 248|Other (specify)|Other|APPROVED|02/01/2006|0|0|0|0|0|0
Headquarters (OCIE)| 136965|801-65233|BREVAN HOWARD ASSET MANAGEMENT LLP|BREVAN HOWARD ASSET MANAGEMENT LLP|2ND FLOOR, ALMACK HOUSE|28 KING STREET|LONDON  SW1Y 6XA|UNITED KINGDOM|||  ||MICHAEL BECKLEY|442070226258|Limited Liability Partnership|Other|APPROVED|01/25/2006|0|0|0|0|0|0
Headquarters (OCIE)| 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 (OCIE)| 136977|801-65033|CORIN CAPITAL LLP|CORIN CAPITAL LLP|63 CURZON ST.||LONDON  WIJ 8PD|UNITED KINGDOM|||  ||BRUCE FROUD|44-207-907-8787|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 (OCIE)| 136989|801-65211|CITIC CAPITAL INVESTMENT MANAGEMENT LIMITED|CITIC CAPITAL INVESTMENT MANAGEMENT LIMITED|26/F, CITIC TOWER, 1TIM MEI AVENUE|CENTRAL HONG KONG|HONG KONG  |PRC|||  ||SABRINA CHUI|+852-2237 6825|Corporation|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
Headquarters (OCIE)| 137000|801-66025|TIBURON PARTNERS LLP|TIBURON PARTNERS LLP|21 ST JAMES'S SQUARE||LONDON  SW1Y 4JP|UNITED KINGDOM|||  ||RICHARD PELL-ILDERTON|+44 20 7747 5770|Limited Liability Partnership|Other|APPROVED|01/31/2006|0|0|0|0|0|0
Headquarters (OCIE)| 137017|801-66236|BLUEPRINT CAPITAL  MANAGEMENT LLP|BLUEPRINT CAPITAL  MANAGEMENT LLP|58 GROSVENOR STREET||LONDON  W1K3JB|UNITED KINGDOM|||  ||ADAM PALMER|44 0 2073994994|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 (OCIE)| 137022|801-64774|AXIS CAPITAL MANAGEMENT LTD|AXIS CAPITAL MANAGEMENT LTD|NUFFIELD HOUSE, 41-46 PICCADILLY||LONDON  W1J ODS|UNITED KINGDOM|||  ||MARK DEACON|442074781406|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/06/2005|0|0|0|0|0|0
Headquarters (OCIE)| 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 (OCIE)| 137034|801-64799|ADDENDA CAPITAL|ADDENDA CAPITAL INC.|2001 MCGILL COLLEGE AVENUE|SUITE 1900|MONTREAL, QUEBEC  H3A 1G1|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 (OCIE)| 137052|801-64928|VHC INTERNATIONAL LIMITED|VHC INTERNATIONAL LIMITED|4TH FLOOR CHARTER PLACE|23-27 SEATON PLACE|ST HELIER  JE2 3QL|JERSEY|||  ||GRANT LOON|011 1534 765 380|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/05/2006|0|0|0|0|0|0
Headquarters (OCIE)| 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 (OCIE)| 137074|801-65069|RAB CAPITAL PLC|RAB CAPITAL PLC|1 ADAM STREET||LONDON  WC2N 6LE|UNITED KINGDOM|||  ||NEIL WARRENDER|+44 20 7389 7015|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/31/2006|0|0|0|0|0|0
Headquarters (OCIE)| 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 (OCIE)| 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 (OCIE)| 137144|801-65210|CITIC CAPITAL INVESTMENT MANAGEMENT (CAYMAN) LIMITED|CITIC CAPITAL INVESTMENT MANAGEMENT (CAYMAN) LIMITED|309GT, UGLAND HOUSE|SOUTH CHURCH STREET|GEORGE TOWN  |CAYMAN ISLANDS|C/O- 26/F CITIC TOWER|1 TIM MEI AVENUE|CENTRAL, HONG KONG  |PRC|SABRINA CHUI|+852-2237 6825|Corporation|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
Headquarters (OCIE)| 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 (OCIE)| 137202|801-64867|BLUE SKY CAPITAL MANAGEMENT|BLUE SKY CAPITAL MANAGEMENT PTY LIMITED|SUITE 2, LEVEL 1|1 RIALTO LANE|MANLY  2095|AUSTRALIA|PO BOX 869||MANLY  1655|AUSTRALIA|ARTHUR GUTHRIE|612-9976-6250|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/10/2005|0|0|0|0|0|0
Headquarters (OCIE)| 137230|801-65523|ADELPHI CAPITAL LLP|ADELPHI CAPITAL LLP|2 GEORGE YARD||LONDON  EC3V 9DH|UNITED KINGDOM|||  ||NICK TYLER|020 70703118|Limited Liability Partnership|Other|APPROVED|01/30/2006|0|0|0|0|0|0
Headquarters (OCIE)| 137245|801-65129|BLUECREST CAPITAL MANAGEMENT LIMITED|BLUECREST CAPITAL MANAGEMENT LIMITED|40 GROSVENOR PLACE||LONDON  SWIX 7AW|ENGLAND|||  ||PAUL DEHADRAY|+44 207 664 3504|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/12/2006|0|0|0|0|0|0
Headquarters (OCIE)| 137267|801-64916|BAILLIE GIFFORD INTERNATIONAL LLC|BAILLIE GIFFORD INTERNATIONAL LLC|CALTON SQUARE|1 GREENSIDE ROW|EDINBURGH  EH1 3AN|SCOTLAND|||  ||NASIM BIBI|44 131 275 3033|Limited Liability Company|Other|APPROVED|12/06/2005|0|0|0|0|0|0
Headquarters (OCIE)| 137280|801-65317|THE CHILDREN'S INVESTMENT FUND MANAGEMENT (UK) LLP|THE CHILDREN'S INVESTMENT FUND MANAGEMENT (UK) LLP|7 CLIFFORD STREET||LONDON  W1S 2WE|UNITED KINGDOM|||  ||TEJ KUMAR GUJADHUR|020 7440 2337|Limited Liability Partnership|Other|APPROVED|01/23/2006|0|0|0|0|0|0
Headquarters (OCIE)| 137291|801-65190|TACONIC CAPITAL ADVISORS UK LTD.|TACONIC CAPITAL ADVISORS UK LTD.|55 GROSVENOR STREET|5TH FLOOR|LONDON  WIK 3HY|UNITED KINGDOM|||  ||ELIZABETH KEELEY|(212) 209-3119|Other (specify)|Other|APPROVED|01/23/2006|0|0|0|0|0|0
Headquarters (OCIE)| 137311|801-65348|PARVUS ASSET MANAGEMENT (UK) LLP|PARVUS ASSET MANAGEMENT (UK) LLP|3RD FLOOR 7 CLIFFORD STREET||LONDON  W1S 2WE|UNITED KINGDOM|||  ||TEJ GUJADHUR|020 7440 2337|Limited Liability Partnership|Other|APPROVED|01/19/2006|0|0|0|0|0|0
Headquarters (OCIE)| 137320|801-65376|DICKSON CAPITAL MANAGEMENT LLP|DICKSON CAPITAL MANAGEMENT LLP|105 PICCADILLY||LONDON  W1J 7NJ|UNITED KINGDOM|||  ||STEPHEN JANSEN|011-44-20-7647-1758|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 (OCIE)| 137362|801-65185|APHELION CAPITAL LLP|APHELION CAPITAL LLP|4 LOMBARD STREET||LONDON  EC3V 9AA|UNITED KINGDOM|||  ||WILLIAM H. DAVIES|44 207 190 2950|Limited Liability Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/30/2006|0|0|0|0|0|0
Headquarters (OCIE)| 137385|801-65090|KASSIRER ASSET MANAGEMENT CORPORATION|KASSIRER ASSET MANAGEMENT CORPORATION|335 BAY STREET|SUITE 700|TORONTO  M5H-2R3|CANADA|||  ||MARK KASSIRER|416-643-2222|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/05/2006|0|1|0|0|0|0
Headquarters (OCIE)| 137408|801-64881|OBERON STREET ASSET MANAGEMENT LIMITED|OBERON STREET ASSET MANAGEMENT LIMITED|5 LAURENCE POUNTNEY LANE||LONDON  EC4R OBS|UK|||  ||HELEN GORTON|44 20 7623 0383|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/17/2005|0|0|0|0|0|0
Headquarters (OCIE)| 137414|801-65728|KAIROS INVESTMENT MANAGEMENT LIMITED|KAIROS INVESTMENT MANAGEMENT LIMITED|77 CORNHILL||LONDON  EC3V 3QQ|UNITED KINGDOM|||  ||FRANCIS J. LUNN|44 (0)20 7398 3036|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/31/2006|0|3|0|0|0|0
Headquarters (OCIE)| 137450|801-65092|CLAREVILLE CAPITAL PARTNERS LLP|CLAREVILLE CAPITAL PARTNERS LLP|GREENCOAT HOUSE|15 FRANCIS STREET|LONDON  SW1P 1DH|UNITED KINGDOM|||  ||ROY R. HAY|44-207-630-8484|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 (OCIE)| 137489|801-65395|THEOREMA ASSET MANAGEMENT LTD.|THEOREMA ASSET MANAGEMENT LTD.|6 BROOK STREET||LONDON  W1S 1BB|UNITED KINGDOM|||  ||GIOVANNI GOVI|+44 207 318 5330|Corporation|Other|APPROVED|01/24/2006|0|0|0|0|0|0
Headquarters (OCIE)| 137515|801-64996|FF&P CAPITAL MANAGEMENT LLP|FLEMING, FAMILY AND PARTNERS CAPITAL MANAGEMENT LLP|ELY HOUSE, 37 DOVER STREET||LONDON  W1S 4NJ|UNITED KINGDOM|||  ||JOANNA STRONACH|+4420 7409 5761|Limited Liability Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/25/2006|0|0|0|0|0|0
Headquarters (OCIE)| 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|ANDREW BELL|340-773-1300|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/23/2006|0|0|0|0|0|0
Headquarters (OCIE)| 137581|801-65199|RUSSELL INVESTMENTS IRELAND LIMITED|RUSSELL INVESTMENTS IRELAND II LIMITED|GUILD HOUSE, GUILD STREET||DUBLIN  1|IRELAND|REX HOUSE|10 REGENT STREET|LONDON  SL9 0NF|UK|JAMES T. FIRN|44-207-024-6000|Corporation|Other|APPROVED|01/31/2006|0|13|0|0|0|0
Headquarters (OCIE)| 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 (OCIE)| 137622|801-65875|DYE ASSET MANAGEMENT|DYE ASSET MANAGEMENT LTD|NO 1 POULTRY||LONDON  EC2R 8JR|ENGLAND|||  ||EDWARD KNOX|00442074154003|Corporation|Other|APPROVED|01/31/2006|0|0|0|0|0|0
Headquarters (OCIE)| 137626|801-65152|LANGLADE CAPITAL MANAGEMENT LLP|LANGLADE CAPITAL MANAGEMENT LLP|49 ST JAMES'S STREET, 2ND FLOOR||LONDON  SW1A 1JT|UNITED KINGDOM|||  ||PAUL FELDMAN|44 20 7016 1451|Limited Liability Partnership|Other|APPROVED|01/11/2006|0|0|0|0|0|0
Headquarters (OCIE)| 137627|801-66057|SLOANE ROBINSON LLP|SLOANE ROBINSON LLP|20 ST DUNSTAN'S HILL||LONDON  EC3R 8ND|UNITED KINGDOM|||  ||TANYA FARRELL|+44 (0) 2079292771|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 (OCIE)| 137637|801-64878|CHARLEMAGNE CAPITAL (UK) LIMITED|CHARLEMAGNE CAPITAL (UK) LIMITED|39 ST JAMES'S STREET||LONDON  SW1A 1JD|UNITED KINGDOM|REGENT HOUSE|16-18 RIDGEWAY STREET|DOUGLAS  IM1 1EN|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 (OCIE)| 137661|801-65276|FULCRUM ASSET MANAGEMENT LLP|FULCRUM ASSET MANAGEMENT LLP|6 CHESTERFIELD GARDENS||LONDON  W1J 5BQ|UNITED KINGDOM|||  ||TIM FLETCHER|+44 20 7016 3913|Limited Liability Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/23/2006|0|0|0|0|0|0
Headquarters (OCIE)| 137672|801-65661|ZEBEDEE CAPITAL LIMITED|ZEBEDEE CAPITAL LIMITED|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 (OCIE)| 137687|801-65197|OXBURGH PARTNERS LLP|OXBURGH PARTNERS LLP|135 CANNON STREET|SIXTH FLOOR|LONDON  EC4N 5BP|ENGLAND|||  ||JONATHAN CHAMBERLAIN|011-20 7621 5600|Limited Liability Partnership|Other|APPROVED|01/20/2006|0|0|0|0|0|0
Headquarters (OCIE)| 137701|801-65956|VISION INVESTMENT MANAGEMENT (ASIA) LIMITED|VISION INVESTMENT MANAGEMENT (ASIA) LIMITED|1801 CHEUNG KONG CENTER|2 QUEEN'S ROAD CENTRAL|CENTRAL  |HONG KONG|||  ||JAMES CHEN|+852 2878 3638|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 (OCIE)| 137703|801-65955|VISION INVESTMENT MANAGEMENT (BVI) LIMITED|VISION INVESTMENT MANAGEMENT (BVI) LIMITED|CRAIGMUIR CHAMBERS|PO BOX 71|ROAD TOWN, TORTOLA  |BRITISH VIRGIN ISLANDS|1801 CHEUNG KONG CENTER|2 QUEEN'S ROAD CENTRAL,|HONG KONG SAR  |CHINA|JAMES CHEN|+852 2878 3638|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 (OCIE)| 137709|801-64894|FRONT STREET INVESTMENT MANAGEMENT INC.|FRONT STREET INVESTMENT MANAGEMENT INC.|87 FRONT STREET EAST|SUITE 400|TORONTO, ONTARIO  M5E 1B8|CANADA|||  ||DAVID CONWAY|416-915-2430|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/15/2005|0|1|0|0|0|0
Headquarters (OCIE)| 137721|801-65834|FINISTERRE CAPITAL LLP|FINISTERRE CAPITAL LLP|1 ALBEMARLE STREET||LONDON  W1S 4HA|UNITED KINGDOM|||  ||YAN SWIDERSKI|44-207-290-3100|Limited Liability Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/30/2006|0|0|0|0|0|0
Headquarters (OCIE)| 137733|801-65528|RICHMOND CAPITAL LLP|RICHMOND CAPITAL LLP|5 KENSINGTON CHURCH STREET||LONDON  W8 4LD|UNITED KINGDOM|||  ||ANDREW BLAIR|44-207-368-4250|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 (OCIE)| 137749|801-65219|PELOTON PARTNERS LLP|PELOTON PARTNERS LLP|17 BROADWICK STREET||LONDON  W1F ODJ|UK|||  ||CONRAD LEVY|+44 207 317 9567|Limited Liability Partnership|Other|APPROVED|01/10/2006|0|0|0|0|0|0
Headquarters (OCIE)| 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 (OCIE)| 137765|801-65269|UBS O'CONNOR LIMITED|UBS O'CONNOR LIMITED|21 LOMBARD STREET||LONDON  EC3V 9AH|ENGLAND|||  ||JOHN ARDLEY|44-207-901-5811|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/23/2006|0|3|0|0|0|0
Headquarters (OCIE)| 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)|APPROVED|01/19/2006|0|0|0|0|0|0
Headquarters (OCIE)| 137841|801-65237|HENDERSON ALTERNATIVE INVESTMENT ADVISOR LIMITED|HENDERSON ALTERNATIVE INVESTMENT ADVISOR LIMITED|4 BROADGATE||LONDON  EC2M 2DA|UNITED KINGDOM|||  ||IAIN MATHER|+44(0)20 7818 4975|Corporation|Portfolio management for investment companies|APPROVED|01/19/2006|0|0|0|0|0|0
Headquarters (OCIE)| 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 businesses or institutional clients (other than investment companies)|APPROVED|02/08/2006|0|0|0|0|0|0
Headquarters (OCIE)| 137850|801-65273|S.W. MITCHELL CAPITAL LLP|S.W. MITCHELL CAPITAL LLP|52 JERMYN STREET||LONDON  SW1Y 6LX|UNITED KINGDOM|||  ||STEPHEN THOMAS|020-7290-3588|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 (OCIE)| 137853|801-65718|NYLON CAPITAL|NYLON CAPITAL LLP|15 SLOANE SQUARE||LONDON  SW1W 8ER|ENGLAND|||  ||JENI LOFTHOUSE|O11 44 207 190 7960|Limited Liability Partnership|Other|APPROVED|01/27/2006|0|0|0|0|0|0
Headquarters (OCIE)| 137855|801-64967|UFG ADVISORS LIMITED|UFG ADVISORS LIMITED|10 POVARSKAYA STREET||MOSCOW  121069|RUSSIA|||  ||ALEXEEV BORIS|+70957211212|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/04/2006|0|0|0|0|0|0
Headquarters (OCIE)| 137860|801-64919|BLACKSTONE FUND SERVICES INDIA PRIVATE LIMITED|BLACKSTONE FUND SERVICES INDIA PRIVATE LIMITED|TAJ PRESIDENT- MUMBAI|ROOM 802|90 CUFFE PARADE  400 005|MUMBAI, INDIA|||  ||ROBERT L. FRIEDMAN|212-583-5268|Corporation|Portfolio management for investment companies|APPROVED-120|11/28/2005|0|0|0|0|0|0
Headquarters (OCIE)| 137868|801-65463|GATKO PARTNERS LLP|GATKO PARTNERS LLP|LINS HOUSE|38 ROSEBERY AVENUE|LONDON  EC1R 4RN|UNITED KINGDOM|||  ||KIRSTY GRANT|+4420 7427 2791|Limited Liability Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/25/2006|0|0|0|0|0|0
Headquarters (OCIE)| 137875|801-65713|WHITEBEAM CAPITAL MANAGEMENT, LLP|WHITEBEAM CAPITAL MANAGEMENT, LLP|18TH FLOOR MARBLE ARCH TOWER|55 BRYANSTON STREET|LONDON  W1H 7AA|UNITED KINGDOM|||  ||OLIVIA ERBY|+44 207 258 5080|Limited Liability Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/30/2006|0|0|0|0|0|0
Headquarters (OCIE)| 137883|801-65665|HILLSDALE INVESTMENT MANAGEMENT INC.|HILLSDALE INVESTMENT MANAGEMENT INC.|100 WELLINGTON STREET W., SUITE 2100|TD CENTRE P.O. BOX 228|TORONTO  M5K 1J3|CANADA|||  ||IAN PEMBER|(416) 913-3920|Corporation|Other, 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
Headquarters (OCIE)| 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 (OCIE)| 137926|801-65982|OVERLOOK INVESTMENTS LIMITED|OVERLOOK INVESTMENTS LIMITED|1702 DINA HOUSE|11 DUDDELL STREET, CENTRAL|HONG KONG  |HONG KONG|||  ||ELLEN ZINKE|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 (OCIE)| 137928|801-65096|DORCHESTER ASSET MANAGEMENT LLP|DORCHESTER ASSET MANAGEMENT LLP|26-28 MOUNT ROW||LONDON  W1K 3SQ|UNITED KINGDOM|||  ||ALKA SHARMA|+442074933003|Limited Liability Partnership|Other|APPROVED|02/01/2006|0|0|0|0|0|0
Headquarters (OCIE)| 137929|801-64998|FM CAPITAL MANAGEMENT|FM CAPITAL MANAGEMENT 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 (OCIE)| 137931|801-65983|OVERLOOK INVESTMENTS L.P.|OVERLOOK INVESTMENTS L.P.|CAMPBELL CORPORATE SERVICES LIMITED, THE BANK OF|NOVA SCOTIA BANK CENTER, P.O. BOX268|GEORGE TOWN  |GRAND CAYMAN|1702, DINA HOUSE|11 DUDDELL STREET|HONG KONG  |HONG KONG|ELLEN ZINKE|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 (OCIE)| 137935|801-65249|RUBICON ASSET MANAGEMENT LIMITED|RUBICON ASSET MANAGEMENT LIMITED|LEVEL 2, 287-289|NEW SOUTH HEAD ROAD|EDGECLIFF  2027|AUSTRALIA|||  ||MATTHEW COOPER|+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 (OCIE)| 137942|801-64901|BOUSSARD & GAVAUDAN ASSET MANAGEMENT LP|BOUSSARD & GAVAUDAN ASSET MANAGEMENT LP|33 BRUTON STREET||LONDON  W1J 6HH|UNITED KINGDOM|||  ||EMMANUEL GAVAUDAN|(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 (OCIE)| 137953|801-65424|ZA CAPITAL LLP|ZA CAPITAL LLP|5 KENSINGTON CHURCH STREET||LONDON  W8 4LD|UK|||  ||ANDREW BLAIR|44-207-368-4200|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 (OCIE)| 137954|801-65412|FEROX CAPITAL MANAGEMENT LP|FEROX CAPITAL MANAGEMENT LP|66 ST JAMES'S STREET||LONDON  SW1A 1NE|UK|||  ||ZILLAH RICHARDS|44(0)2079470000|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/27/2006|0|1|0|0|0|0
Headquarters (OCIE)| 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 (OCIE)| 137977|801-65770|AZURE FUND MANAGERS LIMITED|AZURE FUND MANAGERS LIMITED|SEA MEADOW HOUSE|JAMES WALTER FRANCIS DRIVE|ROAD TOWN, TORTOLA  |BRITISH VIRGIN ISLANDS|P.O. BOX 173|KINGSTON CHAMBERS|ROAD TOWN, TORTOLA  |BRITISH VIRGIN ISLANDS|MOLLY A. MCQUEEN|503-241-7058|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|01/26/2006|0|0|0|0|0|0
Headquarters (OCIE)| 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 (OCIE)| 137992|801-65047|PCE INVESTORS LIMITED|PCE INVESTORS LIMITED|ONE WHITTINGTON AVENUE||LONDON  EC3V 1LE|UNITED KINGDOM|||  ||CHRIS DAY|+44(0)2076644600|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/25/2006|0|0|0|0|0|0
Headquarters (OCIE)| 137993|801-65514|ARISAIG PARTNERS (ASIA) PTE LTD|ARISAIG PARTNERS (ASIA) PTE LTD|7A LORONG TELOK SINGAPORE 049019||N/A  049019|SINGAPORE|||  ||GILBERT ONG|65 6532 3378|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2006|0|0|0|0|0|0
Headquarters (OCIE)| 138025|801-64951|LODH PRIVATE EQUITY AG|LODH PRIVATE EQUITY AG|SIHLSTRASSE 20||ZURICH  8021|SWITZERLAND|||  ||GREGORY BALITSOS|212-792-4465|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/29/2005|0|0|0|0|0|0
Headquarters (OCIE)| 138029|801-65432|RUBY CAPITAL PARTNERS LLP|RUBY CAPITAL PARTNERS LLP|20 ST. JAMES'S STREET||LONDON  SW1A 1ES|UNITED KINGDOM|||  ||MARK GEORGE|011-44-20-7811-4500|Limited Liability Partnership|Other|APPROVED|02/01/2006|0|0|0|0|0|0
Headquarters (OCIE)| 138030|801-65800|TRAFALGAR ASSET MANAGERS LIMITED|TRAFALGAR ASSET MANAGERS LIMITED|66 CHILTERN STREET||LONDON  W1U 4JT|UNITED KINGDOM|||  ||DAVID MILLER|442074991234|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/2006|0|0|0|0|0|0
Headquarters (OCIE)| 138040|801-65349|KDA CAPITAL LLP|KDA CAPITAL LLP|7 CLIFFORD STREET||LONDON  W1S 2WE|UNITED KINGDOM|||  ||TEJ GUJADHUR|020 7440 2337|Limited Liability Partnership|Other|APPROVED|01/19/2006|0|0|0|0|0|0
Headquarters (OCIE)| 138079|801-65230|SECTOR ASSET MANAGEMENT ASA|SECTOR ASSET MANAGEMENT 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 (OCIE)| 138092|801-65701|DORIC CAPITAL CORP.|DORIC CAPITAL CORP.|1501 HENLEY BUILDING|5 QUEEN'S ROAD CENTRAL|HONG KONG  |HONG KONG|||  ||TIM LEWIS|852 2877 2980|Corporation|Other|APPROVED|01/24/2006|0|0|0|0|0|0
Headquarters (OCIE)| 138105|801-65596|CAXTON EUROPE ASSET MANAGEMENT LIMITED|CAXTON EUROPE ASSET MANAGEMENT LIMITED|40 BERKELEY SQUARE, 3RD FLOOR||LONDON  W1J 5AL|UNITED KINGDOM|||  ||SCOTT B. BERNSTEIN|(212) 593-7700|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/2006|0|0|0|0|0|0
Headquarters (OCIE)| 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 (OCIE)| 138113|801-65030|TARPON INVESTIMENTOS S.A.|TARPON INVESTIMENTOS S.A.|AV. FARIA LIMA, 3400 - 9O ANDAR - CJ 92-A||SAO PAULO  04538-132|BRAZIL|||  ||EDUARDO MUFAREJ|55 11 30745825|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|01/27/2006|0|0|0|0|0|0
Headquarters (OCIE)| 138134|801-65676|ASUKA ASSET MANAGEMENT|ASUKA ASSET MANAGEMENT, LTD|LANDIC AKASAKA BLDG., 8TH FLOOR|2-3-4 AKASAKA, MINATO-KU|TOKYO  107-0052|JAPAN|||  ||KAZUHO TOYODA|+81 3 6229-9832|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/27/2006|0|0|0|0|0|0
Headquarters (OCIE)| 138149|801-65627|GDG ASSET MANAGEMENT LIMITED|GDG ASSET MANAGEMENT LIMITED|20 KINGRAM PLACE||DUBLIN 2  |IRELAND|||  ||LOUISE MCKENNA|011-353-1-669-1900|Corporation|Other|APPROVED|01/27/2006|0|0|0|0|0|0
Headquarters (OCIE)| 138166|801-65445|CHEYNE CAPITAL INTERNATIONAL LIMITED|CHEYNE CAPITAL INTERNATIONAL LIMITED|CLARENDON HOUSE|2 CHURCH STREET|HAMILTON  HM11|BERMUDA|||  ||DIANA HESLOP|1 441 296 3728|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/01/2006|0|0|0|0|0|0
Headquarters (OCIE)| 138172|801-65957|E N ASSET MANAGEMENT LIMITED|E N ASSET MANAGEMENT LIMITED|117 HOUNDSDITCH||LONDON  EC3A 7BT|UNITED KINGDOM|||  ||SIMON EASTON|+44-20-7648-8971|Other (specify)|Other|APPROVED|01/31/2006|0|0|0|0|0|0
Headquarters (OCIE)| 138178|801-65673|MAPLE SECURITIES CANADA LIMITED|MAPLE SECURITIES CANADA LIMITED|79 WELLINGTON STREET WEST|SUITE 3500|TORONTO  M5K 1K7|CANADA|||  ||DAVID SCHNARR|416-350-8272|Corporation|Other|APPROVED|01/23/2006|0|0|0|0|0|0
Headquarters (OCIE)| 138179|801-65431|CENTAURUS CAPITAL LIMITED|CENTAURUS CAPITAL LIMITED|16TH FLOOR, 33 CAVENDISH SQUARE||LONDON  W1G 0PW|UNITED KINGDOM|||  ||PAUL LEARY|44-207-852-3800|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/24/2006|0|0|0|0|0|0
Headquarters (OCIE)| 138181|801-65739|OPTIMAL FUND MANAGEMENT PTY LIMITED|OPTIMAL FUND MANAGEMENT PTY LIMITED|LEVEL 32, THE CHIFLEY TOWER|2 CHIFLEY SQUARE|SYDNEY  2000|AUSTRALIA|||  ||JOSEPHINE JANG|61 2 8239 3388|Other (specify)|Other|APPROVED|01/23/2006|0|0|0|0|0|0
Headquarters (OCIE)| 138184|801-65591|ROCKHAMPTON MANAGEMENT U.K. LLP|ROCKHAMPTON MANAGEMENT U.K. LLP|2ND FLOOR, 17 QUEEN STREET||LONDON  W1J 5PH|UK|||  ||PHILIP PIRECKI|44 207 493 9366|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 (OCIE)| 138189|801-65797|MORANT WRIGHT MANAGEMENT LIMITED|MORANT WRIGHT MANAGEMENT LIMITED|4 ST. JAMES'S PLACE||LONDON  SW1A 1NP|ENGLAND|||  ||IAN K. WRIGHT|011-44-20-7499-9980|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/24/2006|0|0|0|0|0|0
Headquarters (OCIE)| 138199|801-65433|CHEYNE CAPITAL MANAGEMENT LIMITED|CHEYNE CAPITAL MANAGEMENT LIMITED|13 CLEVELAND ROW, STORNOWAY HOUSE||LONDON  SW1A 1DH|UNITED KINGDOM|||  ||SIMON JAMES|44 (0) 207 031 7560|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/01/2006|0|0|0|0|0|0
Headquarters (OCIE)| 138230|801-65518|VEGAPLUS CAPITAL PARTNERS (EUROPE) LLP|VEGAPLUS CAPITAL PARTNERS (EUROPE) LLP|103 MOUNT STREET||LONDON  W1K 2TJ|ENGLAND|||  ||DANNY ASHER BROWER|+44 207 182 1918|Limited Liability Partnership|Other|APPROVED|01/27/2006|0|0|0|0|0|0
Headquarters (OCIE)| 138245|801-66129|GOTTEX FUND MANAGEMENT SARL|GOTTEX FUND MANAGEMENT SARL|48 AVENUE DE RHODANIE||LAUSANNE 1007  |SWITZERLAND|||  ||WILLIAM H. WOOLVERTON|617 532 0202|Other (specify)|Other|APPROVED|01/31/2006|0|0|0|0|0|0
Headquarters (OCIE)| 138250|801-65037|SAGE CAPITAL (BERMUDA) LIMITED|SAGE CAPITAL (BERMUDA) LIMITED|BELLERIVESTRASSE 55||ZURICH  8034|SWITZERLAND|||  ||JOHN M. MANN|+1 713 961 5330|Corporation|Portfolio management for individuals and/or small businesses, Other|APPROVED|01/31/2006|0|0|0|0|0|0
Headquarters (OCIE)| 138269|801-65338|ALTIMA PARTNERS LLP|ALTIMA PARTNERS LLP|STIRLING SQUARE, 7 CARLTON GARDENS|4TH FLOOR|LONDON  SW1Y 5AD|UNITED KINGDOM|||  ||MALCOLM GODDARD|011-44-020-7968-6445|Limited Liability Partnership|Other|APPROVED|01/30/2006|0|0|0|0|0|0
Headquarters (OCIE)| 138270|801-65450|WADHWANI ASSET MANAGEMENT LLP|WADHWANI ASSET MANAGEMENT LLP|WARWICK COURT|5 PATERNOSTER SQUARE|LONDON  EC4M 7DX|UNITED KINGDOM|||  ||PRADIP DASANI|011-44-20-7663-3428|Limited Liability Partnership|Other|APPROVED|01/24/2006|0|0|0|0|0|0
Headquarters (OCIE)| 138273|801-66035|RED STAR ASSET MANAGEMENT|RED STAR ASSET MANAGEMENT, L.P.|CANON'S COURT|22 VICTORIA STREET|HAMILTON  HM 12|BERMUDA|||  ||CATARINA TALBOT|441-298-3279|Partnership|Other|APPROVED|02/01/2006|0|0|1|0|0|0
Headquarters (OCIE)| 138282|801-65954|HERMITAGE CAPITAL MANAGEMENT LIMITED|HERMITAGE CAPITAL MANAGEMENT LIMITED|HSBC PRIVATE BANK BUILDING|RUE DU PRE|SAINT PETER PORT  GY1 1LU|GUERNSEY|||  ||GRANT FELGENHAUER|+7 095 258 3160|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2006|0|0|0|0|0|0
Headquarters (OCIE)| 138297|801-65843|PERMAL INVESTMENT MANAGEMENT SERVICES LIMITED|PERMAL INVESTMENT MANAGEMENT SERVICES LIMITED|25 ST. JAMES'S ST.|THE ECONOMIST BUILDING|LONDON  SW1A 1HA|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 (OCIE)| 138303|801-65741|METHODOLOGY ASSET MANAGEMENT (UK) LLP|METHODOLOGY ASSET MANAGEMENT (UK) LLP|7 CLIFFORD STREET||LONDON  W1S 2WE|UNITED KINGDOM|||  ||ALEXIS BONNET|44 207 434 1900|Limited Liability Partnership|Other|APPROVED|01/26/2006|0|0|0|0|0|0
Headquarters (OCIE)| 138308|801-65103|POLYGON INVESTMENTS LTD.|POLYGON INVESTMENTS LTD.|10 DUKE OF YORK SQUARE||LONDON  SW3 4LY|UNITED KINGDOM|||  ||SEAN A. COTE|+44 (0) 207 901 8330|Other (specify)|Other|APPROVED|01/06/2006|0|0|0|0|0|0
Headquarters (OCIE)| 138313|801-65418|AUTONOMY CAPITAL RESEARCH LLP|AUTONOMY CAPITAL RESEARCH LLP|8-11 DENBIGH MEWS||LONDON  SW1V 2HQ|UNITED KINGDOM|||  ||PETER BOWDEN|44 (0) 20 7963 9077|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 (OCIE)| 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 (OCIE)| 138334|801-65926|LYXOR ASSET MANAGEMENT|LYXOR ASSET MANAGEMENT|17 COURS VALMY-TOUR SOCIETE GENERALE||PUTEAUX  92800|FRANCE|TOUR SOCIETE GENERALE-17 COURS VALMY||PARIS-LA DEFENSE CEDEX  92987|FRANCE|PHILIPPE DE SOUMAGNAT|33 1 42 13 82 87|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Security ratings or pricing services|APPROVED|02/01/2006|0|1|0|0|0|0
Headquarters (OCIE)| 138376|801-65589|OAL|OASIS ADVISORS LIMITED|ARK MORI BUILDING, 22ND FLOOR, PO BOX 578|1-12-32 AKASAKA, MINATO-KU|TOKYO  107-6022|JAPAN|||  ||SIMON ATKINSON|813 5114 1296|Corporation|Other|APPROVED|01/23/2006|0|0|0|0|0|0
Headquarters (OCIE)| 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|1|0|0|0|0
Headquarters (OCIE)| 138392|801-65635|CLAIRVOYANCE CAPITAL ADVISORS INC.|CLAIRVOYANCE CAPITAL ADVISORS INC.|8F, NO. 6, LANE 171|SEC. 2, FU-XING S. RD|TAIPEI  106|TAIWAN, R.O.C.|||  ||IRIS LIN|886-2-2700-8268 X203|Corporation|Other|APPROVED|01/25/2006|0|0|0|0|0|0
Headquarters (OCIE)| 138395|801-65583|TCI NEW HORIZON INVESTMENTS LTD|TCI NEW HORIZON INVESTMENTS LTD|3RD FLOOR, LES CASCADES|EDITH CAVELL STREET|PORT LOUIS  |MAURITIUS|||  ||TEJ GUJADHUR|020 7440 2337|Other (specify)|Other|APPROVED|01/25/2006|0|0|0|0|0|0
Headquarters (OCIE)| 138396|801-65443|PLEXUS PARTNER LLP|PLEXUS PARTNER LLP|29 QUEEN ANNE'S GATE||LONDON  SWIH 9BU|ENGLAND|||  ||JOHN COMERFORD|442072270025|Limited Liability Partnership|Other|APPROVED|02/01/2006|0|0|0|0|0|0
Headquarters (OCIE)| 138443|801-65556|PYRENEES INVESTMENT MANAGEMENT|PYRENEES INVESTMENT MANAGEMENT|PASEO DE GRACIA 12, 1A||BARCELONA  08007|SPAIN|||  ||JOSEPHINE RAGNI|011 34 93 4920386|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2006|0|0|0|0|0|0
Headquarters (OCIE)| 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|||  ||YASUKO HONDA|81-3-6402-2950|Corporation|Other|APPROVED|01/23/2006|0|0|0|0|0|0
Headquarters (OCIE)| 138466|801-65247|LIBERTY ERMITAGE ASSET MANAGEMENT JERSEY LIMITED|LIBERTY ERMITAGE ASSET MANAGEMENT JERSEY LIMITED|1ST FLOOR|47 THE ESPLANDE|ST HELIER  JE1 9LB|JERSEY|||  ||KIMBERLEY ROE|01534 615 553|Corporation|Selection of other advisers, Other|APPROVED|02/01/2006|1|0|0|0|0|0
Headquarters (OCIE)| 138474|801-65387|CQS (UK) LLP|CQS (UK) LLP|33 GROSVENOR PLACE|5TH FLOOR|LONDON  SW1X 7HY|U.K.|||  ||KAM LYNN WONG|44 207 201 6901|Limited Liability Partnership|Other|APPROVED|02/01/2006|0|0|0|0|0|0
Headquarters (OCIE)| 138478|801-65299|GLADSTONE PARTNERS|GLADSTONE CAPITAL MANAGEMENT LLP|2  LONDON  BRIDGE||LONDON  SE19RA|UNITED KINGDOM|||  ||SEAN BURNARD|+44 20 7939 1706|Limited Liability Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/30/2006|0|0|0|0|0|0
Headquarters (OCIE)| 138491|801-65388|CQS (HONG KONG) LIMITED|CQS (HONG KONG) LIMITED|31-06 ONE EXCHANGE SQUARE|8 CONNAUGHT PLACE, CENTRAL|HONG KONG SAR  |CHINA|||  ||KAM LYNN WONG|44 207 201 6901|Corporation|Other|APPROVED|01/27/2006|0|0|0|0|0|0
Headquarters (OCIE)| 138492|801-65404|BENNELONG ASSET MANAGEMENT LLP|BENNELONG ASSET MANAGEMENT LLP|6 DUKE STREET, ST JAMES'S||LONDON  SW1Y 6BN|UNITED KINGDOM|||  ||MARK KONDA|44 207 190 0880|Limited Liability Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/24/2006|0|0|0|0|0|0
Headquarters (OCIE)| 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 (OCIE)| 138506|801-65972|WMG ADVISORS LLP|WMG ADVISORS LLP|86 JERMYN STREET||LONDON  SW1Y 6JD|UNITED KINGDOM|||  ||PARESH SHAH|+44 20 7154 8106|Limited Liability Partnership|Other|APPROVED|01/31/2006|0|0|0|0|0|0
Headquarters (OCIE)| 138507|801-65705|PRAETORIAN CAPITAL MANAGEMENT ASA|PRAETORIAN CAPITAL MANAGEMENT ASA|HAAKON VII'S GATE 1||OSLO  0125|NORWAY|||  ||MORTEN S. BREDESEN|+4722012603|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/2006|0|1|0|0|0|0
Headquarters (OCIE)| 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 (OCIE)| 138592|801-65652|LYNX ASSET MANAGEMENT AB|LYNX ASSET MANAGEMENT AB|NORRMALMSTORG 14|P.O. BOX 7060|STOCKHOLM  SE-10386|SWEDEN|||  ||SVANTE BERGSTROM|+46 8 56621425|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/31/2006|0|0|0|0|0|0
Headquarters (OCIE)| 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 (OCIE)| 138603|801-65342|ASTER-X CAPITAL MANAGEMENT|ASTER-X CAPITAL MANAGEMENT B.V.|HOGEHILWEG 21||AMSTERDAM  1101CB|HOLLAND|||  ||STAM|0031204302116|Other (specify)|Other|APPROVED|02/03/2006|0|0|0|0|0|0
Headquarters (OCIE)| 138609|801-65714|INDIA CAPITAL MANAGEMENT LIMITED|INDIA CAPITAL MANAGEMENT LIMITED|IFS COURT TWENTY EIGHT|CYBERCITY|EBENE  |MAURITIUS|211 PICCADILLY||LONDON  W1J 9HF|UK|JENNIFER BINGHAM|+44 20 7830 9622|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/2006|0|0|0|0|0|0
Headquarters (OCIE)| 138631|801-65594|MKM LONGBOAT CAPITAL ADVISORS LLP|MKM LONGBOAT CAPITAL ADVISORS LLP|STANDBROOK HOUSE|2-5 OLD BOND STREET|LONDON  W1S 4PD|UNITED KINGDOM|||  ||BRETT CARRON|44-207-152-1058|Limited Liability Partnership|Other|APPROVED|01/24/2006|0|0|0|0|0|0
Headquarters (OCIE)| 138637|801-65363|WOLF ROCK CAPITAL LLP|WOLF ROCK CAPITAL LLP|42 BROOK STREET||LONDON  W1K 5DB|UNITED KINGDOM|||  ||DAVID HOLME|011 44 20 7958 9900|Limited Liability Partnership|Other|APPROVED|01/30/2006|0|0|0|0|0|0
Headquarters (OCIE)| 138641|801-65610|POLAR SECURITIES INC.|POLAR SECURITIES INC.|372 BAY STREET|SUITE 2100|TORONTO  M5H 2W9|CANADA|||  ||HERMAN GILL|416-369-4452|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/23/2006|0|0|0|0|0|0
Headquarters (OCIE)| 138646|801-65526|MARRET ASSET MANAGEMENT INC|MARRET ASSET MANAGEMENT INC|150 KING STREET WEST|SUITE 2304|TORONTO ONTARIO  M5H IJ9|CANADA|||  ||AMY TSE|416-214-5800 EXT 231|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/20/2006|0|0|0|0|0|0
Headquarters (OCIE)| 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 (OCIE)| 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|Other|APPROVED|02/01/2006|0|0|0|0|0|0
Headquarters (OCIE)| 138720|801-65403|HARMONIC CAPITAL PARTNERS LLP|HARMONIC CAPITAL PARTNERS LLP|2 THROGMORTON AVENUE||LONDON  EC2N 2DG|UNITED KINGDOM|||  ||PHILIP BRIGGS|+44 20 7448 0345|Limited Liability Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/30/2006|0|0|0|0|0|0
Headquarters (OCIE)| 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 (OCIE)| 138727|801-66083|GMP ASSET MANAGEMENT LLP|GMP ASSET MANAGEMENT LLP|32 CURZON STREET||LONDON  W1J 7WS|ENGLAND|||  ||LORNA NOLAN|44-207-290-7600|Limited Liability Partnership|Other|APPROVED|02/01/2006|0|0|0|0|0|0
Headquarters (OCIE)| 138729|801-65261|BEACH CAPITAL MANAGEMENT LIMITED|BEACH CAPITAL MANAGEMENT LIMITED|CANNON BRIDGE,|25 DOWGATE HILL|LONDON  EC4R 2YA|UNITED KINGDOM|||  ||MELANIE FIRTH|020 7173 8014|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/19/2006|0|0|0|0|0|0
Headquarters (OCIE)| 138733|801-65264|BEACH HORIZON LLP|BEACH HORIZON LLP|CANNON BRIDGE|25 DOWGATE HILL|LONDON  EC4R 2YA|UNITED KINGDOM|||  ||PAUL NETHERWOOD|+44 207 173 8032|Limited Liability Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/30/2006|0|0|0|0|0|0
Headquarters (OCIE)| 138734|801-65830|OTUS CAPITAL MANAGEMENT LIMITED|OTUS CAPITAL MANAGEMENT LIMITED|27 QUEEN ANNE'S GATE||LONDON  SW1H 9BU|ENGLAND|||  ||PAUL HALE|02072270005|Other (specify)|Other|APPROVED|01/30/2006|0|0|0|0|0|0
Headquarters (OCIE)| 138735|801-65402|CLARKSON FUND MANAGEMENT LTD|CLARKSON FUND MANAGEMENT LTD|ST. MAGNUS HOUSE|3 LOWER THAMES STREET|LONDON  EC3R 6HE|UNITED KINGDOM|||  ||MIKE CAHILL|44-207-334-3168|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2006|0|0|0|0|0|0
Headquarters (OCIE)| 138741|801-66000|RJM ADVISORS|RJM ADVISORS PTE. LTD.|11 COLLYER QUAY|#11-03 THE ARCADE|SINGAPORE  049317|SINGAPORE|||  ||KENICHI FUKUI|65-6270-2554|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/31/2006|0|0|0|0|0|0
Headquarters (OCIE)| 138748|801-65409|CAPULA INVESTMENT MANAGEMENT LLP|CAPULA INVESTMENT MANAGEMENT LLP|103 MOUNT STREET||LONDON  W1K 2TJ|UNITED KINGDOM|||  ||ALI SAIEDABADI|+44 20 7071 0913|Limited Liability Partnership|Other|APPROVED|01/26/2006|0|0|0|0|0|0
Headquarters (OCIE)| 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 (OCIE)| 138753|801-65906|PI INVESTMENT MANAGEMENT LIMITED|PI INVESTMENT MANAGEMENT LIMITED|UNIT 3A, 19/F THE CENTRIUM|60 WYNDHAM STREET, CENTRAL|HONG KONG  |HONG KONG|||  ||LEE HONG HO|852 3102 0880|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
Headquarters (OCIE)| 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|||  ||NICOLA MARTIN|+612 9303 6238|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/02/2006|0|0|0|0|0|0
Headquarters (OCIE)| 138760|801-65567|GRADIENT CAPITAL|GRADIENT CAPITAL PARTNERS LLP|52 CORNHILL||LONDON  EC3V 3PD|UNITED KINGDOM|||  ||ANDREW WALL|44-20-7398-5803|Limited Liability Partnership|Other|APPROVED|02/01/2006|0|0|0|0|0|0
Headquarters (OCIE)| 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 (OCIE)| 138766|801-65986|LONDON DIVERSIFIED FUND MANAGEMENT|LONDON DIVERSIFIED FUND MANAGEMENT LLP|3RD FLOOR|10 GROSVENOR STREET|LONDON  W1K 4QB|UNITED KINGDOM|||  ||MARK CORBETT|+44 20 7408 5200|Limited Liability Partnership|Other|APPROVED|01/30/2006|0|0|0|0|0|0
Headquarters (OCIE)| 138767|801-65839|PENDRAGON CAPITAL LLP|PENDRAGON CAPITAL LLP|4 CORK STREET|4TH FLOOR|LONDON  W1S 3LG|ENGLAND|||  ||JOHN RICHARD PENNELLS|+44 207 479 4245|Limited Liability Partnership|Other|APPROVED|01/27/2006|0|0|0|0|0|0
Headquarters (OCIE)| 138776|801-65257|CONVIVO CAPITAL MANAGEMENT LIMITED|CONVIVO CAPITAL MANAGEMENT LIMITED|14 WELBECK STREET||LONDON  W1G 9XU|UNITED KINGDOM|||  ||PAUL CLIFFORD LUKE|+44 20 7908 2943|Limited Liability Company|Other|APPROVED|02/09/2006|0|0|0|0|0|0
Headquarters (OCIE)| 138777|801-65529|NOVATERA CAPITAL PTE. LTD.|NOVATERA CAPITAL PTE. LTD.|1 SHENTON WAY #16-04||SINGAPORE  068803|SINGAPORE|||  ||ROBERT ANDREW LEWIS|+65 8133 9578|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/23/2005|0|0|0|0|0|0
Headquarters (OCIE)| 138779|801-65410|COPENHAGEN CAPITAL LLP|COPENHAGEN CAPITAL LLP|10 HILL STREET, MAYFAIR||LONDON  W1J 5NQ|UNITED KINGDOM|||  ||GREGORY THOMAS|+44 20 7399 2924|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 (OCIE)| 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 (OCIE)| 138785|801-65844|C60 CAPITAL LLP|C60 CAPITAL LLP|43 DOVER STREET||LONDON  W1S 4NU|UNITED KINGDOM|||  ||ELIYAO HAROUSH|+44-20-74939402|Limited Liability Partnership|Other|APPROVED|01/30/2006|0|0|0|0|0|0
Headquarters (OCIE)| 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 (OCIE)| 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 (OCIE)| 138789|801-65838|BRADSHAW ASSET MANAGEMENT LIMITED|BRADSHAW ASSET MANAGEMENT LIMITED|10 BRUTON STREET||LONDON  W1J 6PX|UNITED KINGDOM|||  ||PHILIP VRACAS|0207 647 7691|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/31/2006|0|0|0|0|0|0
Headquarters (OCIE)| 138793|801-65960|ORN CAPITAL LLP|ORN CAPITAL LLP|20 BALDERTON STREET||LONDON  W1K 6TL|U.K.|||  ||RICHARD FORD|+44 20 7529 1171|Limited Liability Partnership|Other|APPROVED|01/27/2006|0|0|0|0|0|0
Headquarters (OCIE)| 138801|801-65520|MELLON FINANCIAL CENTRE 160 QUEEN VICTORIA STREET|MELLON HBV ALTERNATIVE STRATEGIES UK LIMITED|160 QUEEN VICTORIA STREET||LONDON  EC4V 4LA|UNITED KINGDOM|||  ||PATRICK SULLIVAN|44 (20) 7163 6300|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/27/2006|0|0|0|0|0|0
Headquarters (OCIE)| 138805|801-65491|GSA CAPITAL PARTNERS LLP|GSA CAPITAL PARTNERS LLP|11 BERKELEY STREET`|1ST FLOOR|LONDON  W1J 8DS|UNITED KINGDOM|||  ||PAUL SHERWOOD|011-44-20-7959-8840|Limited Liability Partnership|Other|APPROVED|01/25/2006|0|0|0|0|0|0
Headquarters (OCIE)| 138808|801-65267|ILEX ASSET MANAGEMENT (UK) LLP|ILEX ASSET MANAGEMENT (UK) LLP|6 CORK STREET||LONDON  W1S 3NX|UNITED KINGDOM|||  ||GARETH ROBLIN|44-20-7734-5115|Limited Liability Partnership|Other|APPROVED|01/30/2006|0|0|0|0|0|0
Headquarters (OCIE)| 138837|801-66110|LIONGATE CAPITAL MANAGEMENT LLP|LIONGATE CAPITAL MANAGEMENT LLP|LIONGATE HOUSE|23 GREAT PULTENEY STREET|LONDON  W1F 9NH|UNITED KINGDOM|||  ||RANDALL HOBBS|+44 20 7534 3646|Limited Liability Partnership|Other|APPROVED|01/27/2006|0|0|0|0|0|0
Headquarters (OCIE)| 138839|801-66029|IKOS CIF LTD.|IKOS CIF LTD.|28TH OCTOBER & IACOVOS TOMPAZI STREET NO 156,||LIMASSOL  3035|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 (OCIE)| 138852|801-65820|NEW AMSTERDAM CAPITAL MANAGEMENT LLP|NEW AMSTERDAM CAPITAL MANAGEMENT LLP|20 BALDERTON STREET||LONDON  W1K 6TL|UNITED KINGDOM|||  ||ZUURMOND, JEROEN|+44 20 7529 1248|Limited Liability Partnership|Other|APPROVED|01/27/2006|0|0|0|0|0|0
Headquarters (OCIE)| 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 (OCIE)| 138870|801-65774|HOLTE CAPITAL LTD|HOLTE CAPITAL LTD|2 BROOK STREET|3RD FLOOR|LONDON  W1S 1BQ|UK|||  ||BRIAN O'CALLAGHAN|+44 20 7647 7520|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/23/2006|0|0|0|0|0|0
Headquarters (OCIE)| 138875|801-65876|ASIA ABSOLUTE ADVISORS LIMITED|ASIA ABSOLUTE ADVISORS LIMITED|3402 TWO EXCHANGE SQUARE|8 CONNAUGHT PLACE, CENTRAL|HONG KONG  |HONG KONG|||  ||MARCO LAI|+852 2868 5011|Other (specify)|Other|APPROVED|01/30/2006|0|0|0|0|0|0
Headquarters (OCIE)| 138876|801-65326|ACRU ASSET MANAGEMENT LIMITED|ACRU ASSET MANAGEMENT LIMITED|3 GARDEN ROAD|UNIT 3406, CITIBANK TOWER, CITIBANK PLAZA|CENTRAL  |HONG KONG|||  ||SEETOH LIN YOKE|852-2878-8081|Corporation|Portfolio management for investment companies|APPROVED|01/30/2006|0|0|0|0|0|0
Headquarters (OCIE)| 138877|801-65525|BLAKENEY MANAGEMENT|BLAKENEY L.L.P.|29 CHELSEA WHARF, LOTS ROAD||LONDON  SW1O 0QJ|UNITED KINGDOM|||  ||EYMEAR ROCHFORD|44-20-7352-4117|Limited Liability Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/30/2006|0|0|0|0|0|0
Headquarters (OCIE)| 138878|801-65873|KEY ASSET MANAGEMENT (UK) LIMITED|KEY ASSET MANAGEMENT (UK) LIMITED|34 BROOK STREET||LONDON  W1K 5DN|UNITED KINGOM|||  ||YUNUS MANGERA|+44 20 7016 6200|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
Headquarters (OCIE)| 138880|801-65964|MILLENNIUM GLOBAL INVESTMENTS LIMITED|MILLENNIUM GLOBAL INVESTMENTS LIMITED|64 ST. JAMES'S STREET||LONDON  SW1A 1NF|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 (OCIE)| 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 individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|01/30/2006|0|0|0|0|0|0
Headquarters (OCIE)| 138900|801-65407|DENEB ASSET MANAGEMENT LIMITED|DENEB ASSET MANAGEMENT LIMITED|70 YORK STREET|SUITE 1220|TORONTO  M5J 1S9|CANADA|||  ||PAT LEMAN|416 869-7269|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/24/2006|0|0|0|0|0|0
Headquarters (OCIE)| 138904|801-65716|FENICIAN CAPITAL MANAGEMENT LLP|FENICIAN CAPITAL MANAGEMENT LLP|5TH FLOOR, 23 BUCKINGHAM GATE||LONDON  SW1E 6LB|UNITED KINGDOM|||  ||CHRIS SHERLOCK|+44 20 77982204|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 (OCIE)| 138910|801-65761|SATTVA INVESTMENT MANAGEMENT CO. LTD.|SATTVA INVESTMENT MANAGEMENT CO. LTD.|NO.  309 GT, UGLAND HOUSE|SOUTH CHURCH ST, GEORGE TOWN, GRAND CAYMAN ISLANDS|CAYMAN ISLANDS  |CAYMAN ISLANDS|||  ||SAMIR SHAH|852 3471 9888|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/02/2006|0|0|0|0|0|0
Headquarters (OCIE)| 138911|801-65760|SATTVA INVESTMENT ADVISORS LIMITED|SATTVA INVESTMENT ADVISORS LIMITED|1506 ICBC TOWER, CITIBANK PLAZA|3 GARDEN ROAD CENTRAL|HONG KONG  |HONG KONG|||  ||CRAIG LINDSAY|852 3471 9888|Corporation|Portfolio management for investment companies, Other|APPROVED|02/02/2006|0|0|0|0|0|0
Headquarters (OCIE)| 138921|801-65699|BINJAI HILL ASSET MANAGEMENT PTE LTD.|BINJAI HILL ASSET MANAGEMENT PTE LTD.|58 CIRCULAR ROAD, #03-01||SINGAPORE  049413|REPUBLIC OF SINGAPORE|||  ||STEVEN JAN WONG|(65) 6438-4158|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
Headquarters (OCIE)| 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 (OCIE)| 138953|801-66184|BROOKE CAPITAL LIMITED|BROOKE CAPITAL LIMITED|1501, 15/F THE WORKSTATION|43 LYNDHURST TERRACE|CENTRAL  |HONG KONG|||  ||ANNIE FUNG|3105-3583|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 (OCIE)| 138954|801-65813|SHELL COVE CAPITAL MANAGEMENT LTD|SHELL COVE CAPITAL MANAGEMENT LTD|KING STREET WHARF|55 LIME STREET, SUITE 503|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 (OCIE)| 138956|801-65343|ELGIN CAPITAL LLP|ELGIN CAPITAL LLP|130 JERMYN STREET||LONDON  SW1Y 4UR|UNITED KINGDOM|||  ||MICHAEL CLANCY|+44 (0) 207 968 6800|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 (OCIE)| 138957|801-65825|VOYAGER INVESTMENT ADVISORS PRIVATE LIMITED|VOYAGER INVESTMENT ADVISORS PRIVATE LIMITED|VOYAGER INVESTMENT ADVISORS PRIVATE LIMITED|SUITE 127 ATLANTA BUILDING|NARIMAN POINT, MUMBAI  400021|INDIA|||  ||SHIV PURI|91-22-2285-5395|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2006|0|0|0|0|0|0
Headquarters (OCIE)| 138969|801-65909|WESTHARBOR CAPITAL LLP|WESTHARBOR CAPITAL LLP|3RD FLOOR NO 2 CONDUIT STREET||LONDON  W1S 2XB|UNITED KINGDOM|||  ||BRIAN BYRNE|00442076478102|Limited Liability Partnership|Other|APPROVED|02/01/2006|0|0|0|0|0|0
Headquarters (OCIE)| 138975|801-66027|PROSPERITY CAPITAL MANAGEMENT|PROSPERITY CAPITAL MANAGEMENT LIMITED|8 NORTH CHURCH STREET|2 FLOOR|GEORGE TOWN  |CAYMAN ISLANDS|PO BOX 1166GT||GEORGE TOWN  |CAYMAN ISLANDS|TOMAS OLSSON|+44-20-7434 4131|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/31/2006|0|0|0|0|0|0
Headquarters (OCIE)| 138983|801-65795|PROLOGUE CAPITAL, LLP|PROLOGUE CAPITAL, LLP|78 BROOK ST||LONDON  W1K 5EF|ENGLAND|||  ||JOHN SHEERAN|44 207 495 4636|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 (OCIE)| 138987|801-66222|PRIME CAPITAL MANAGEMENT COMPANY LIMITED|PRIME CAPITAL MANAGEMENT COMPANY LIMITED|181 QUEEN'S ROAD CENTRAL|UNIT 2506, LOW BLOCK, GRAND MILLENNIUM PLAZA|HONG KONG  |HONG KONG|||  ||JIAN YANG|852-35236121|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/02/2006|0|1|0|0|0|0
Headquarters (OCIE)| 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 (OCIE)| 139003|801-66130|CAPITAL PARTNERS CAYMAN ISLANDS LIMITED|RP CAPITAL PARTNERS CAYMAN ISLANDS LIMITED|UGLAND HOUSE|SOUTH CHURCH STREET|GEORGE TOWN  |CAYMAN ISLANDS|33 CHESTER STREET||LONDON  SW1X 7XD|UNITED KINGDOM|PETER OLDEN|+44 207 245 4499|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/08/2006|0|0|0|0|0|0
Headquarters (OCIE)| 139012|801-65715|MARTIN CURRIE INVESTMENT MANAGEMENT LIMITED|MARTIN CURRIE INVESTMENT MANAGEMENT LIMITED|SALTIRE COURT, 20 CASTLE TERRACE||EDINBURGH  EH1 2ES|UNITED KINGDOM|||  ||KEITH SWINLEY|44 131 479 5977|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 (OCIE)| 139023|801-66021|CASTLEGROVE CAPITAL|CASTLEGROVE CAPITAL MANAGEMENT LLP|84 BROOK STREET|MAYFAIR|LONDON  W1K 5EH|UK|||  ||PAUL FROST-SMITH|+44 20 70706388|Limited Liability Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/30/2006|0|0|0|0|0|0
Headquarters (OCIE)| 139028|801-65826|CORINTHIAN CAPITAL MANAGEMENT LIMITED|CORINTHIAN CAPITAL MANAGEMENT LIMITED|1501 HENLEY BUILDING|5 QUEEN'S ROAD CENTRAL|HONG KONG  |HONG KONG|||  ||TIMOTHY PETER LEWIS|+852 2877 2980|Corporation|Other|APPROVED|01/30/2006|0|0|0|0|0|0
Headquarters (OCIE)| 139033|801-65829|DELPHIC CAPITAL MANAGEMENT LIMITED|DELPHIC CAPITAL MANAGEMENT LIMITED|1501 HENLEY BUILDING|5 QUEEN'S ROAD CENTRAL|HONG KONG  |HONG KONG|||  ||TIMOTHY PETER LEWIS|+852 2877 2980|Corporation|Other|APPROVED|01/30/2006|0|0|0|0|0|0
Headquarters (OCIE)| 139036|801-65925|MARCO POLO INVESTMENTS (CAYMAN ISLANDS) LIMITED|MARCO POLO INVESTMENTS (CAYMAN ISLANDS) LIMITED|ROOM 701,|59 CONNAUGHT ROAD CENTRAL|HONG KONG SAR  |CHINA|||  ||WING MUI CHRIS TANG|852-3426-8804|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/21/2006|0|0|0|0|0|0
Headquarters (OCIE)| 139048|801-65863|LIONHART INVESTMENTS LIMITED|LIONHART INVESTMENTS LIMITED|HESTON BUSINESS COURT|19 CAMP ROAD|WIMBLEDON, LONDON  SW194UW|UNITED KINGDOM|||  ||NICHOLAS JOHN REGO|732 784-2363|Other (specify)|Portfolio management for investment companies|APPROVED|02/09/2006|0|0|0|0|0|0
Headquarters (OCIE)| 139051|801-65836|NOVE CAPITAL|NOVE CAPITAL MANAGEMENT AB|NORRLANDSGATAN 16||STOCKHOLM  SE-111 43|SWEDEN|||  ||JOHAN HEIJBEL|46 0 8 545 017 50|Other (specify)|Other|APPROVED|01/31/2006|0|0|0|0|0|0
Headquarters (OCIE)| 139055|801-66162|NORTH OF SOUTH|NORTH OF SOUTH CAPITAL LLP|12 HANS ROAD||LONDON, ENGLAND  SW3 1RS|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 (OCIE)| 139099|801-65827|IONIC CAPITAL MANAGEMENT LIMITED|IONIC CAPITAL MANAGEMENT LIMITED|1501 HENLEY BUILDING|5 QUEEN'S ROAD CENTRAL|HONG KONG  |HONG KONG|||  ||TIMOTHY PETER LEWIS|+852 2877 2980|Corporation|Other|APPROVED|01/24/2006|0|0|0|0|0|0
Headquarters (OCIE)| 139112|801-66136|JAPAN ADVISORY, LTD.|JAPAN ADVISORY, LTD.|PLAZA MIKADO 7F|2-14-5 AKASAKA, MINATO-KU|TOKYO  107-0052|JAPAN|||  ||BRIAN HAFNER|813-3560-6590|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/26/2006|0|0|0|0|0|0
Headquarters (OCIE)| 139115|801-66099|ARGONAFTIS CAPITAL MANAGEMENT (OVERSEAS) LTD|ARGONAFTIS CAPITAL MANAGEMENT (OVERSEAS) 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 (OCIE)| 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 (OCIE)| 139127|801-66014|BLACKSQUARE CAPITAL LLP|BLACKSQUARE CAPITAL LLP|23 BERKELEY SQUARE||LONDON  W1J 6HE|UNITED KINGDOM|||  ||CHRSTOPHER PEEL|+44 20 7665 6692|Limited Liability Partnership|Other|APPROVED|02/13/2006|0|0|0|0|0|0
Headquarters (OCIE)| 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 (OCIE)| 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 (OCIE)| 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-120|02/09/2006|0|0|0|0|0|0
Headquarters (OCIE)| 139166|801-65974|OCEANIC FUND MANAGEMENT LIMITED|OCEANIC FUND MANAGEMENT LIMITED|ST. GEORGE'S COURT|UPPER CHURCH STREET|DOUGLAS  IM1 1EE|ISLE OF MAN|||  ||MICHAEL RODGERS|+44 1624 643156|Corporation|Other|APPROVED-120|02/09/2006|0|0|0|0|0|0
Headquarters (OCIE)| 139168|801-65910|AUDLEY CAPITAL|AUDLEY CAPITAL ADVISORS LLP|22 ARLINGTON STREET||LONDON  SW1A 1RD|UNITED KINGDOM|||  ||JULIAN TREGER|+44 20 7290 4300|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 (OCIE)| 139173|801-66008|WARD FERRY MANAGEMENT (BVI) LIMITED|WARD FERRY MANAGEMENT (BVI) LIMITED|17/F CROCODILE HOUSE 1|50 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 (OCIE)| 139179|801-66109|COSMO INVESTMENT MANAGEMENT CO., LTD.|COSMO INVESTMENT MANAGEMENT CO., LTD.|29 FL. MILLENIUM BLDG.|DOGOK-DONG GANGNAM-GU|SEOUL  135-700|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 (OCIE)| 139184|801-66072|WARD FERRY MANAGEMENT LIMITED|WARD FERRY MANAGEMENT LIMITED|17/F CROCODILE HOUSE 1|50 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 (OCIE)| 139191|801-65888|DYNASTY ASSET MANAGEMENT, LTD.|DYNASTY ASSET MANAGEMENT, LTD.|268 XI ZANG ZHONG ROAD|SUITE 2502|SHANGHAI  200001|CHINA|||  ||GRACE ZHU|+86-21-6340-4400|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/30/2006|0|0|0|0|0|0
Headquarters (OCIE)| 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 (OCIE)| 139207|801-66313|ECLECTICA ASSET MANAGEMENT LLP|ECLECTICA ASSET MANAGEMENT LLP|6 SALEM ROAD||LONDON  W2 4BU|UNITED KINGDOM|||  ||SIMON BATTEN|+44 207 792 6410|Limited Liability Partnership|Other|APPROVED|03/08/2006|0|0|0|0|0|0
Headquarters (OCIE)| 139208|801-65978|RITCHIE CAPITAL MANAGEMENT, LTD.|RITCHIE CAPITAL MANAGEMENT, LTD.|75 FORT STREET||GEORGE TOWN  |GRAND CAYMAN|2100 ENTERPRISE AVENUE||GENEVA IL 60134|USA|JAMES G. RICKARDS|630-845-5730|Other (specify)|Selection of other advisers|APPROVED|02/21/2006|0|0|0|0|0|0
Headquarters (OCIE)| 139217|801-66016|EMSO PARTNERS LIMITED|EMSO PARTNERS LIMITED|41 BERKELEY SQUARE||LONDON  W1J 5AN|UNITED KINGDOM|||  ||JOHN LASALA|44 207 508-7599|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2006|0|1|0|0|0|0
Headquarters (OCIE)| 139247|801-65992|TRAFALGAR CAPITAL MANAGEMENT (UK) LLP|TRAFALGAR CAPITAL MANAGEMENT (UK) LLP|49 ST JAMES'S STREET||LONDON  SW1A 1JT|UNITED KINGDOM|||  ||RICHARD SZWAGRZAK|44 20 7499 9500|Limited Liability Partnership|Other|APPROVED|02/01/2006|0|0|0|0|0|0
Headquarters (OCIE)| 139284|801-66207|GEM GLOBAL EQUITIES MANAGEMENT S.A.|GEM GLOBAL EQUITIES MANAGEMENT S.A.|LYFORD CAY DRIVE|LYFORD CAY P.O. BOX 7776-444|NASSAU  |BAHAMAS|||  ||MARK HOLCOMBE|242-362-4001|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/15/2006|0|0|0|0|0|0
Headquarters (OCIE)| 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 (OCIE)| 139305|801-66103|SPROTT ASSET MANAGEMENT INC.|SPROTT ASSET MANAGEMENT INC.|2700 -200 BAY STREET|ROYAL BANK PLAZA SOUTH TOWER|TORONTO, ONTARIO  M5J-2J1|CANADA|||  ||NEAL NENADOVIC|416-943-6721|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/08/2006|0|0|0|0|0|0
Headquarters (OCIE)| 139319|801-66177|LANDRY MORIN INC|LANDRY MORIN INC|1010 SHERBROOKE STREET WEST, SUITE 2105||MONTREAL  H3A 2R7|CANADA|||  ||RICHARD MORIN|(514) 985-1138|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
Headquarters (OCIE)| 139345|801-66160|MACQUARIE FUNDS MANAGEMENT|MACQUARIE INVESTMENT MANAGEMENT LIMITED|20 BOND STREET|LEVEL 22|SYDNEY  2000|AUSTRALIA|||  ||VIRGINIA MALLEY|612 8232 4508|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2006|0|1|0|0|0|0
Headquarters (OCIE)| 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 (OCIE)| 139362|801-66124|GANDHARA ADVISORS ASIA LIMITED|GANDHARA ADVISORS ASIA LIMITED|21ST FLOOR, HENLEY BUILDING|5 QUEENS ROAD CENTRAL|HONG KONG  |CHINA|||  ||IAN WYLIE|442074916163|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/06/2006|0|0|0|0|0|0
Headquarters (OCIE)| 139384|801-66125|GANDHARA ADVISORS EUROPE LLP|GANDHARA ADVISORS EUROPE LLP|6TH FLOOR 65 CURZON STREET||LONDON  W1J 8PE|ENGLAND, UNITED KINGDOM|||  ||IAN WYLIE|44-207-491-6163|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 (OCIE)| 139408|801-66166|NEWMAN RAGAZZI PARTNERS LLP|NEWMAN RAGAZZI PARTNERS LLP|2 BACK LANE||LONDON  NW3 1HL|UK|||  ||MERVYN HUGHES|+44 20 7472 5609|Limited Liability Partnership|Other|APPROVED|02/01/2006|0|0|0|0|0|0
Headquarters (OCIE)| 139462|801-66251|VESTBIRK CAPITAL MANAGEMENT LIMITED|VESTBIRK CAPITAL MANAGEMENT LIMITED|CONTINENTAL BUILDING|25 CHURCH STREET|HAMILTON  HM 12|BERMUDA|PO BOX HM 265||HAMILTON  HM AX|BERMUDA|JASON VENNING|441-295-1528|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|02/15/2006|0|0|0|0|0|0
Headquarters (OCIE)| 139477|801-66189|MOON LIGHT CAPITAL LIMITED|MOON LIGHT CAPITAL LIMITED|IMPERIAL HOTEL TOWER 14F|1-1-1 UCHISAIWAI-CHO, CHIYODA-KU|TOKYO  100-0011|JAPAN|IMPERIAL HOTEL TOWER 14F|1-1-1 UCHISAIWAI-CHO, CHIYODA-KU|TOKYO  100-0011|JAPAN|KAZUO TSUKAGOSHI|+81-3-3539-5868|Corporation|Other|APPROVED|01/27/2006|0|0|0|0|0|0
Headquarters (OCIE)| 139484|801-66341|CHIRIN CAPITAL LLP|CHIRIN CAPITAL LLP|30 WATLING STREET||LONDON  EC4M 9BR|ENGLAND|||  ||NOEL VELLA|44-20-7653-6180|Limited Liability Partnership|Other|APPROVED|03/13/2006|0|0|0|0|0|0
Headquarters (OCIE)| 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|011442075458291|Other (specify)|Other|APPROVED|03/02/2006|0|1|0|0|0|0
Headquarters (OCIE)| 139554|801-66215|TRIDENT PACIFIC CAPITAL|TRIDENT PACIFIC CAPITAL PTY LTD.|MAYBANK TOWER #30-01|2 BATTERY ROAD|SINGAPORE  049907|SINGAPORE|||  ||MICHAEL PERRY CLEMONS|65-6424-0548|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 (OCIE)| 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 (OCIE)| 139666|801-66285|DEUTSCHE ASSET MANAGEMENT (HONG KONG) LIMITED|DEUTSCHE ASSET MANAGEMENT (HONG KONG) LIMITED|55/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)|APPROVED|03/08/2006|0|1|0|0|0|0
Headquarters (OCIE)| 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 (OCIE)| 139751|801-66306|CZ CAPITAL LLP|CZ CAPITAL LLP|LANSDOWNE HOUSE, 6TH FLOOR|57 BERKELEY SQUARE|LONDON  W1J 6ER|UK|||  ||CHARLES ZACHARY CURTIS|+44-207-448-1951|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 (OCIE)| 139777|801-66392|NAFTILIA ASSET MANAGEMENT LIMITED|NAFTILIA ASSET MANAGEMENT LIMITED|44 CHRISOSTOMOU SMYRNIS STREET|CHALANDRI|ATHENS  15233|GREECE|||  ||GEORGE ELLIOTT|003-0210-684-6943|Other (specify)|Other|APPROVED|03/06/2006|0|0|0|0|0|0
Headquarters (OCIE)| 139877|801-66388|MACARTHURCOOK INVESTMENT MANAGERS LIMITED|MACARTHURCOOK INVESTMENT MANAGERS LIMITED|LEVEL 4, 30 COLLINS STREET||MELBOURNE, VICTORIA  3000|AUSTRALIA|||  ||MATTHEW WRIGLEY|61 3 9660 4555|Corporation|Portfolio management for investment companies|APPROVED|03/06/2006|0|0|0|0|0|0
Headquarters (OCIE)| 139894|801-66384|OLYMPUS CAPITAL LLP|OLYMPUS CAPITAL LLP|5TH FLOOR THAMES HOUSE VINTNERS' PLACE|68 UPPER THAMES STREET|LONDON  EC4V 3BJ|UNITED KINGDOM|||  ||DEBBIE TANNER|+44 20 7653 6503|Limited Liability Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/03/2006|0|0|0|0|0|0
Midwest Regional Office|      4|801-12716|A. G. EDWARDS & SONS, INC.|A. G. EDWARDS & SONS, INC.|ONE NORTH JEFFERSON AVE||ST. LOUIS MO 63103|USA|||  ||ANN HOLDER|314-955-5656|Corporation|Financial planning services, Portfolio management 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|03/03/1977|35|131|0|0|0|0
Midwest Regional Office|     39|801-8164|ALLSTATE ASSURANCE COMPANY|ALLSTATE ASSURANCE COMPANY|3100 SANDERS ROAD|SUITE J5B|NORTHBROOK IL 60062|USA|||  ||BRUCE A. TEICHNER|847-402-5000|Other (specify)|Selection of other advisers|APPROVED|12/14/1971|0|0|0|0|0|0
Midwest Regional Office|     61|801-19699|B. C. ZIEGLER AND COMPANY|B. C. ZIEGLER AND COMPANY|250 E WISCONSIN AVENUE||MILWAUKEE WI 53202|USA|||  ||ELIZABETH A WATKINS|414/978-6493|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|09/06/1983|0|3|0|0|0|0
Midwest Regional Office|    120|801-61903|BUTLER, WICK & CO., INC.|BUTLER, WICK & CO., INC.|700 CITY CENTRE ONE BUILDING||YOUNGSTOWN OH 44503|USA|||  ||FRANKLIN S. 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|7|0|0|0|0
Midwest Regional Office|    250|801-3297|EDWARD JONES|EDWARD D. JONES & CO., L.P.|12555 MANCHESTER RD||ST. LOUIS MO 63131|USA|||  ||PEARCE, LOIS CAROLYN|(314) 515-5283|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|36|7|0|0|0
Midwest 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 A. SIDES|651-738-5519|Corporation|Financial planning services, Portfolio management 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|7|18|0|0|0
Midwest Regional Office|    453|801-23120|HILLIARD LYONS ASSET MANAGEMENT|J.J.B. HILLIARD, W.L. LYONS, INC|HILLIARD LYONS CENTER|501 SOUTH FOURTH STREET|LOUISVILLE KY 40202-2517|USA|||  ||KAPLAN, ELIZABETH|502-588-1719|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|12/03/1984|1|13|1|0|0|0
Midwest Regional Office|    566|801-11037|MCDONALD INVESTMENTS INC.|MCDONALD INVESTMENTS INC.|MCDONALD INVESTMENTS CENTER|800 SUPERIOR AVENUE|CLEVELAND OH 44114|USA|||  ||SHELLY GOERING|(216) 563-2009|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|09/25/1975|1|16|0|0|0|0
Midwest Regional Office|    628|801-63623|FIFTH THIRD SECURITIES, INC.|FIFTH THIRD SECURITIES, INC.|34 FOUNTAIN SQUARE PLAZA||CINCINNATI OH 45263|USA|38 FOUNTAIN SQUARE MAIL DROP 116311||CINCINNATI OH 45263|USA|JOSEPH S. DAFT|(513) 534-6268|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|11/17/2004|0|16|0|0|0|0
Midwest Regional Office|    665|801-6063|PIPER JAFFRAY & CO.|PIPER JAFFRAY & CO.|800 NICOLLET MALL||MINNEAPOLIS MN 55402|USA|||  ||MCCAGUE, ANN C.|612/303-6359|Corporation|Financial planning services, Portfolio management 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|10/24/1963|6|175|37|0|0|0
Midwest Regional Office|    728|801-7395|ROTHSCHILD INVESTMENT CORPORATION|ROTHSCHILD INVESTMENT CORPORATION|311 SOUTH WACKER DRIVE|SUITE 6500|CHICAGO IL 60606|USA|||  ||T.  GRESSICK|312-983-8900|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|6|0|0|0|0
Midwest 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 businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|05/07/1975|1|69|2|0|0|0
Midwest Regional Office|    875|801-64233|WAYNE HUMMER INVESTMENTS L.L.C.|WAYNE HUMMER INVESTMENTS L.L.C.|300 S WACKER DRIVE||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
Midwest 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
Midwest 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 46206-0368|USA|JOHN C. SWHEAR|317-285-1869|Corporation|Portfolio management for investment companies, Pension consulting services, Other|APPROVED|12/09/1971|0|4|0|0|0|0
Midwest Regional Office|   1137|801-54949|PRINCOR FINANCIAL SERVICES CORPORATION|PRINCOR FINANCIAL SERVICES CORPORATION|711 HIGH STREET||DES MOINES IA 50392-0200|USA|||  ||MINOO SPELLERBERG|515-248-3082|Corporation|Financial planning services, Selection of other advisers, Other|APPROVED|10/10/1997|0|1|0|0|0|0
Midwest 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|||  ||LAPALM, JOSEPH|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|9|0|0|0|0
Midwest 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
Midwest 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), Selection of other advisers, Market timing services, Other|APPROVED|10/08/1997|0|10|0|0|0|0
Midwest 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|APPROVED|12/11/1971|0|13|0|0|0|0
Midwest 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|Financial planning services, Portfolio management for 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
Midwest Regional Office|   2881|801-8095|NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC|NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC|611 EAST WISCONSIN AVE||MILWAUKEE WI 53202-4797|USA|||  ||ROBERT J. JOHNSON|414-665-5494|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|12/10/1971|1|25|2|0|0|0
Midwest 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|28|2|0|0|0
Midwest 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
Midwest Regional Office|   3215|801-27061|ROMANO BROTHERS AND COMPANY|ROMANO BROTHERS AND COMPANY|ONE ROTARY CENTER|STE 1300|EVANSTON IL 60201|USA|||  ||ROBERT A. VALLONE|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
Midwest Regional Office|   3487|801-8184|STATE FARM INVESTMENT MANAGEMENT|STATE FARM INVESTMENT MANAGEMENT CORP.|3 STATE FARM PLAZA, 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|0|0|0|0|0
Midwest 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|SUSAN JOANN SCANLON|860/466-1397|Corporation|Financial planning services, Portfolio management for 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|14|47|16|0|0|0
Midwest Regional Office|   4173|801-56819|ONEAMERICA SECURITIES, INC.|ONEAMERICA SECURITIES, INC.|ONE AMERICAN SQUARE||INDIANAPOLIS IN 46282|USA|ONE AMERICAN SQUARE|PO BOX 1984|INDIANAPOLIS IN 46206|USA|NICHOLAS FILING|317-285-1525|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|09/13/1999|0|4|0|0|0|0
Midwest 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|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/11/1971|0|0|0|0|0|0
Midwest Regional Office|   5611|801-12999|HORWITZ & ASSOCIATES, INC.|HORWITZ & ASSOCIATES, INC.|630 DUNDEE ROAD|SUITE 345|NORTHBROOK IL 60062|USA|||  ||GERALD A. HORWITZ|847-790-1200|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|05/25/1977|0|0|0|0|0|0
Midwest 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|||  ||BRUCE SELLARS|(313) 628-1571|Corporation|Selection of other advisers, Other|APPROVED|06/24/2003|0|51|0|0|0|0
Midwest 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|194|102|0|0|0|0
Midwest 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
Midwest Regional Office|   7110|801-52664|NATIONWIDE INVESTMENT SERVICES CORPORATION|NATIONWIDE INVESTMENT SERVICES CORPORATION|ONE NATIONWIDE PLAZA|1-07-11|COLUMBUS OH 43215|USA|||  ||BARBARA J. SHANE|614-249-9451|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|08/30/1996|0|13|0|0|0|0
Midwest 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
Midwest 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|6|0|0|0
Midwest Regional Office|   7927|801-60444|NORTHERN TRUST SECURITIES, INC|NORTHERN TRUST SECURITIES, INC.|50 S. LASALLE||CHICAGO IL 60675-0001|USA|||  ||JOHN E. DUNNING|312-444-7008|Corporation|Portfolio management for individuals and/or small businesses, Other|APPROVED|08/08/2001|0|3|0|0|0|0
Midwest Regional Office|   8158|801-7571|ROBERT W. BAIRD & CO. INCORPORATED|ROBERT W. BAIRD & CO. INCORPORATED|777 E. WISCONSIN AVE||MILWAUKEE WI 53202|USA|||  ||PAUL L. SCHULTZ|414-298-2655|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|43|0|0|0|0
Midwest 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
Midwest 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
Midwest 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
Midwest Regional Office|  10078|801-62113|WATERSTONE FINANCIAL GROUP, INC.|WATERSTONE FINANCIAL GROUP, INC.|500 PARK BLVD.|SUITE 800|ITASCA IL 60143|USA|||  ||PATTI CRAWFORD|630-250-7000|Corporation|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|06/20/2003|0|10|0|0|0|0
Midwest Regional Office|  10105|801-44573|OGILVIE SECURITY ADVISORS CORP|OGILVIE SECURITY ADVISORS CORPORATION|900 N. MICHIGAN AVENUE, SUITE 1860||CHICAGO IL 60611|USA|||  ||DEBRA HOAG|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
Midwest 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
Midwest Regional Office|  10472|801-20452|BEACON INVESTMENT COMPANY|BEACON INVESTMENT COMPANY|505 E HURON ST., STE. 208||ANN ARBOR MI 48104|USA|||  ||JOHNSON, AUDREY L|734-662-1200|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/16/1984|0|0|0|0|0|0
Midwest Regional Office|  12060|801-60015|COUNTRY CAPITAL MANAGEMENT COMPANY|COUNTRY CAPITAL MANAGEMENT COMPANY|1705 TOWANDA AVENUE, 1ST FLOOR||BLOOMINGTON IL 61701|USA|||  ||JAMES B. WILEY|(309)821-2887|Corporation|Financial planning services|APPROVED|02/28/2001|0|0|0|0|0|0
Midwest Regional Office|  13310|801-11055|THE SACHS COMPANY|MORTON H. SACHS & CO.|1346 SOUTH THIRD STREET||LOUISVILLE KY 40208|USA|||  ||MCGRATH, RONALD E.|502-636-5282|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|11/28/1975|0|4|0|0|0|0
Midwest 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|||  ||NANCY KOTALIK|319-447-5700|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Market timing services|APPROVED|08/27/2003|0|9|6|0|0|1
Midwest 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
Midwest Regional Office|  14143|801-62788|SYCAMORE FINANCIAL GROUP|SYCAMORE FINANCIAL GROUP, INC.|2713 ROCKFORD LANE|P.O. BOX 4058|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
Midwest Regional Office|  14646|801-20460|CARILLON INVESTMENTS, INC|CARILLON INVESTMENTS, INC.|1876 WAYCROSS RD, STN 2||CINCINNATI OH 45240|USA|P.O. BOX 40409||CINCINNATI OH 45240-0409|USA|VAN ERP, ANDREW JAMES|513-595-2106|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/12/1984|0|2|0|0|0|0
Midwest 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|1|10|0|0|0|0
Midwest 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|PAUL WOODWARD|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|0|0|0|0
Midwest Regional Office|  15764|801-61232|MTL EQUITY PRODUCTS, INC.|MTL EQUITY PRODUCTS, INC.|1200 JORIE BLVD.||OAK BROOK IL 60523|USA|||  ||JEFFERY K. HOELZEL|800-323-7320|Corporation|Financial planning services, Selection of other advisers, Other|APPROVED|06/10/2002|0|0|0|0|0|0
Midwest Regional Office|  15840|801-62161|WALNUT STREET SECURITIES, INC.|WALNUT STREET SECURITIES, INC.|13045 TESSON FERRY ROAD||ST. LOUIS MO 63128|USA|||  ||JENNIFER BECCIA|212-578-0284|Corporation|Financial planning services, 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|7|2|0|0|0
Midwest Regional Office|  15876|801-26086|EQUITY ANALYSTS INC.|EQUITY ANALYSTS INC.|7750 MONTGOMERY RD.||CINCINNATI OH 45236|USA|||  ||DAVID MANZLER|513-293-8558|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|12/31/1985|0|0|0|0|0|0
Midwest Regional Office|  15898|801-44286|WARNER GROUP, INC.|WARNER GROUP, INC.|505 5TH ST|STE 100|SIOUX CITY IA 51101|USA|||  ||ROBERTS, DANIEL A.|712-255-5700|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|07/08/1993|0|0|0|0|0|0
Midwest Regional Office|  16195|801-31673|SICOR SECURITIES INC|SICOR SECURITIES INC|8141 N MAIN ST||DAYTON OH 45415-1747|USA|||  ||GREGORY L MERRICK|937-890-3101 X 141|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|03/25/1988|0|3|0|0|0|0
Midwest 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), Selection of other advisers, Market timing services, Other|APPROVED|04/26/1999|0|6|0|0|0|0
Midwest Regional Office|  16517|801-64655|M&I BROKERAGE SERVICES, INC.|M&I BROKERAGE SERVICES, INC.|770 NORTH WATER STREET||MILWAUKEE WI 53202-2039|USA|||  ||CHERYL A. DOWSETT|414-298-3448|Corporation|Financial planning services, Selection of other advisers|APPROVED|09/15/2005|0|1|0|0|0|0
Midwest Regional Office|  16741|801-56275|FINTEGRA FINANCIAL SOLUTIONS|FINTEGRA, LLC|6120 EARLE BROWN DRIVE|SUITE 550|MINNEAPOLIS MN 55430|USA|||  ||KENNETH M. CHERRIER|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
Midwest Regional Office|  16986|801-58015|THE HUNTINGTON INVESTMENT COMPANY|THE HUNTINGTON INVESTMENT COMPANY|41 SOUTH HIGH STREET||COLUMBUS OH 43215|USA|||  ||CRAIG LONG|614.480.3532|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|10/06/2000|0|7|1|0|0|0
Midwest Regional Office|  16999|801-46056|BANC ONE SECURITIES CORPORATION|BANC ONE SECURITIES CORPORATION|300 SOUTH RIVERSIDE PLAZA|19TH FLOOR|CHICAGO IL 60606|USA|10 SOUTH DEARBORN|16TH FLOOR|CHICAGO IL 60603|USA|W ROBERT FELKER|312-732-4174|Corporation|Financial planning services, Other|APPROVED|04/08/1994|0|9|1|0|0|0
Midwest Regional Office|  17073|801-62967|UMB SCOUT BROKERAGE SERVICES, INC.|UMB SCOUT BROKERAGE 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|APPROVED|04/09/2004|0|0|0|0|0|0
Midwest Regional Office|  17079|801-64897|COMERICA SECURITIES|COMERICA SECURITIES,INC.|201 WEST FORT ST. 3RD FLOOR MC3137||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)|APPROVED|12/06/2005|0|6|1|0|0|0
Midwest Regional Office|  17490|801-50015|NATCITY INVESTMENTS, INC.|NATCITY INVESTMENTS, INC.|1965 EAST SIXTH STREET||CLEVELAND OH 44114|USA|||  ||JEFFREY D. SUHANIC|216-222-2122|Corporation|Financial planning 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|10/03/1995|0|11|0|0|0|0
Midwest 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
Midwest Regional Office|  18313|801-28827|SUSSEX FINANCIAL GROUP, INC|SUSSEX FINANCIAL GROUP, INC.|707 LAKE COOK RD|STE 100|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|1|0|0|0
Midwest 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
Midwest Regional Office|  18387|801-29618|THRIVENT INVESTMENT MANAGEMENT INC.|THRIVENT INVESTMENT MANAGEMENT INC.|625 FOURTH AVENUE SOUTH||MINNEAPOLIS MN 55415|USA|||  ||JENNIFER RELIEN|612-340-8648|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|3|0|0|0|0
Midwest 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, Market timing services|APPROVED|04/10/1987|1|1|0|0|0|0
Midwest 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), Publication of periodicals or newsletters, Market timing services|APPROVED|07/24/1987|0|1|0|0|0|0
Midwest 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
Midwest 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|3|0|0|0|0
Midwest 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
Midwest Regional Office|  21572|801-54006|MARQUETTE ASSOCIATES, INC.|MARQUETTE ASSOCIATES, INC.|150 NORTH WACKER DRIVE|SUITE 1900|CHICAGO IL 60606|USA|||  ||MARY PETTIGREE|312-527-5500|Corporation|Pension consulting services, Selection of other advisers|APPROVED|03/25/1997|0|0|0|0|0|0
Midwest 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
Midwest 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
Midwest Regional Office|  22011|801-53844|JAG ADVISORS|J.A. GLYNN & CO.|9841 CLAYTON ROAD||ST. LOUIS MO 63124-1603|USA|||  ||DANIEL J FERRY JR|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
Midwest Regional Office|  22449|801-62329|CUTTER & COMPANY, INC.|CUTTER AND COMPANY BROKERAGE, INC.|15510 OLIVE BLVD.|2ND FLOOR|CHESTERFIELD MO 63017|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
Midwest 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|10|0|0|0|0
Midwest 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|||  ||CHRISTOPHER J. SWANSON|219-432-3763|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|07/28/1988|0|2|0|0|0|0
Midwest Regional Office|  23714|801-39223|FREEDOM INVESTORS CORP.|FREEDOM INVESTORS CORP.|130 E CAPITOL DRIVE|PO BOX 48|HARTLAND WI 53029|USA|PO BOX 48||HARTLAND WI 53029|WAUKESHA|AMY SIESENNOP|262-369-9180|Corporation|Portfolio management for investment companies|APPROVED|07/02/1991|1|3|0|0|0|0
Midwest Regional Office|  25041|801-60814|MHA INVESTMENTS CORPORATION|MHA INVESTMENTS CORPORATION|6215 W. ST. JOSEPH HWY.||LANSING MI 48917|USA|||  ||KATHLEEN A. DICKENSON|517-886-8242|Corporation|Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|12/28/2001|0|0|0|0|0|0
Midwest 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
Midwest Regional Office|  25574|801-36407|CHASE INVESTMENT SERVICES CORP.|CHASE INVESTMENT SERVICES CORP.|300 SOUTH RIVERSIDE PLAZA|19TH FLOOR|CHICAGO IL 60606|USA|10 SOUTH DEARBORN|16TH FLOOR|CHICAGO IL 60603|USA|W ROBERT FELKER|312-732-4174|Corporation|Financial planning 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|14|1|0|0|0
Midwest Regional Office|  27108|801-37383|BUTTONWOOD PARTNERS, INC.|BUTTONWOOD PARTNERS, INC.|701 DEMING WAY|SUITE 100|MADISON WI 53717|USA|||  ||JUDY FAUST|608/827-6400|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|09/06/1990|0|2|0|0|0|0
Midwest Regional Office|  27913|801-38116|L.M. KOHN & COMPANY|L.M. KOHN & COMPANY|9810 MONTGOMERY ROAD||CINCINNATI OH 45242-6425|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|1|0|0|0|0
Midwest 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|1|0|0|0|0
Midwest 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|||  ||RICHARD S. BABJAK|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|2|0|0|0|0
Midwest 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|2|2|0|0|0
Midwest 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
Midwest Regional Office|  29462|801-61097|STANTON INVESTMENT ADVISORS, INC.|STANTON INVESTMENT ADVISORS, INC.|3405 ANNAPOLIS LANE NORTH||PLYMOUTH MN 55447|USA|||  ||JAY E. PLUIMER|763-278-4986|Corporation|Pension consulting services|APPROVED|04/30/2002|0|0|0|0|0|0
Midwest Regional Office|  30465|801-41221|BURNLEY ASSOCIATES, INC.|BURNLEY ASSOCIATES, INC.|421 BAYBERRY LANE||NAPERVILLE IL 60563-2823|USA|||  ||RICHARD L. BOGGS|(630) 778-7331|Corporation|Pension consulting services|APPROVED|04/07/1992|0|0|0|0|0|0
Midwest Regional Office|  31194|801-13059|RBC DAIN RAUSCHER INC.|RBC DAIN RAUSCHER INC.|60 S 6TH ST.||MINNEAPOLIS MN 55402|USA|||  ||KARYN OLSON|612-371-7877|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/02/1977|1|128|2|0|0|0
Midwest Regional Office|  31898|801-65758|WORKMAN SECURITIES ADVISORY SERVICES|WORKMAN SECURITIES CORPORATION|6500 CITY WEST PARKWAY|SUITE 350|EDEN PRAIRIE MN 55344|USA|||  ||PAUL J. MAXA|952.541.6094|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|01/30/2006|0|1|0|0|0|2
Midwest 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|1|0|0|0|0
Midwest Regional Office|  35919|801-16127|CHARTER CAPITAL MANAGEMENT, INC|CHARTER CAPITAL MANAGEMENT, INC.|125 S. 84TH STREET|SUITE 140|MILWAUKEE WI 53214|USA|||  ||LAUREN E. TOLL|414-257-3700|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/01/1981|0|0|0|0|0|0
Midwest Regional Office|  36405|801-64177|CAPITAL SECURITIES OF AMERICA, INC.|CAPITAL SECURITIES OF AMERICA, INC.|150 GRAND TRUNK AVE||HARTVILLE OH 44632|USA|||  ||GREG HAUSENBAUER|(330)877-7710|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|04/28/2005|0|3|0|0|0|0
Midwest 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
Midwest Regional Office|  36527|801-60035|LEONARD AND COMPANY|LEONARD FINANCIAL CORPORATION|1450 W. LONG LAKE ROAD|SUITE 150|TROY MI 48098|USA|||  ||DONALD M. LEONARD|248-952-5858|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|03/08/2001|0|0|0|0|0|0
Midwest Regional Office|  37185|801-56187|CATHOLIC FINANCIAL SERVICES CORP|CATHOLIC FINANCIAL SERVICES CORPORATION|1100 WEST WELLS STREET||MILWAUKEE WI 53233|USA|||  ||JOHN KOTH|414/278-6560|Corporation|Portfolio management for investment companies|APPROVED|01/22/1999|0|0|0|0|0|0
Midwest 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
Midwest 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
Midwest Regional Office|  39385|801-54195|FELDMAN SECURITIES GROUP LLC|FELDMAN SECURITIES GROUP L.L.C.|20 N WACKER DR|SUITE 1775|CHICAGO IL 60606|USA|||  ||PAUL MARNELL|(312) 444-1755|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/03/1997|0|1|0|0|0|0
Midwest 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
Midwest 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|APPROVED|08/26/1997|0|0|0|0|0|0
Midwest Regional Office|  39806|801-62940|EQUITAS AMERICA, LLC|EQUITAS AMERICA, LLC|38505 COUNTRY CLUB DR.|SUITE 110|FARMINGTON HILLS MI 48331|USA|||  ||KIMBERLY LIDDELL-WATSON|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
Midwest Regional Office|  40875|801-56316|USALLIANZ SECURITIES, INC.|USALLIANZ SECURITIES, INC.|5701 GOLDEN HILLS DRIVE||MINNEAPOLIS MN 55416|USA|P.O. BOX 59177||MINNEAPOLIS MN 55459|USA|CATHERINE MIELKE|763-765-6140|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|03/22/1999|0|32|0|0|0|0
Midwest 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|0|0|0|0|0
Midwest Regional Office|  42727|801-56636|DISCIPLINED FINANCIAL SERVICES, INC|DISCIPLINED FINANCIAL SERVICES, INC.|330 SOUTH EXECUTIVE DRIVE|SUITE 102|BROOKFIELD WI 53005|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
Midwest Regional Office|  42847|801-64516|POLAR INVESTMENT COUNSEL, INC.|POLAR INVESTMENT COUNSEL, INC.|19547 210TH AV 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
Midwest Regional Office|  43100|801-55894|QUESTAR CAPITAL CORPORATION|QUESTAR CAPITAL CORPORATION|655 FAIRFIELD COURT, SUITE 200||ANN ARBOR MI 48108|USA|||  ||JOHN H. GAKENHEIMER|734/213-6000|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|09/24/1998|0|2|0|0|0|0
Midwest Regional Office|  43307|801-56177|AMR EMPLOYEE BENEFIT SERVICES, INC.|AMR EMPLOYEE BENEFIT SERVICES, INC.|1151 EAST WARRENVILLE RD||NAPERVILLE IL 60563|USA|||  ||BRIAN R. FOSTER|630-505-7777|Corporation|Financial planning services, Pension consulting services|APPROVED|01/08/1999|0|0|0|0|0|0
Midwest 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
Midwest 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
Midwest 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|Portfolio management for 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|26|3|0|0|0
Midwest Regional Office|  47086|801-58291|WORTHMARK FINANCIAL SERVICES, LLC|WORTHMARK FINANCIAL SERVICES, LLC|400 ROBERT STREET NORTH||ST. PAUL MN 55101|USA|||  ||TIMOTHY WUESTENHAGEN|651-665-4593|Limited Liability Company|Selection of other advisers|APPROVED|02/02/2001|0|8|0|0|0|0
Midwest 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
Midwest 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|616-787-6505|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/13/1999|0|0|0|0|0|0
Midwest Regional Office| 103717|801-58101|OBERLIN FINANCIAL CORP.|OBERLIN FINANCIAL CORP.|209 N. MAIN|P.O. BOX 998|BRYAN OH 43506|USA|||  ||JEFFREY V. GERY|419-636-4001|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|11/09/2000|0|1|0|0|0|0
Midwest Regional Office| 104281|801-62386|ADVISORTRADZ|ONLINE BROKERAGE SERVICES, INC.|103 N. RIVER RD||WATERVILLE OH 43566|USA|||  ||KEVIN M. OVERY|419-878-1900|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/26/2003|0|1|0|0|0|0
Midwest Regional Office| 104538|801-56988|MPOWER ADVISORS, LLC|MPOWER ADVISORS, LLC|225 W. WACKER DRIVE|4TH FLOOR|CHICAGO IL 60606|USA|||  ||D. SCOTT SCHILLING|312-696-6168|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|11/19/1999|0|0|0|0|0|0
Midwest Regional Office| 104541|801-27598|GRATRY & CO|GRATRY & CO|1375 EAST NINTH STREET, SUITE 1930||CLEVELAND OH 44114|USA|||  ||GRATRY, JEROME|216-589-9094|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
Midwest 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
Midwest 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
Midwest Regional Office| 104593|801-53180|DELOITTE & TOUCHE INVESTMENT ADVISORS LLC|DELOITTE & TOUCHE INVESTMENT ADVISORS LLC|250 EAST FIFTH STREET, SUITE 1900||CINCINNATI OH 45202|USA|||  ||DAWSON, PHYLLIS INEZ|513-929-3312|Limited Liability Company|Financial planning services, Pension consulting services|APPROVED|11/15/1996|0|3|3|0|0|0
Midwest 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
Midwest 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), Selection of other advisers|APPROVED|12/22/1981|0|0|0|0|0|0
Midwest 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
Midwest 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
Midwest Regional Office| 104631|801-51126|FORETHOUGHT INVESTMENT MANAGEMENT INC|FORETHOUGHT INVESTMENT MANAGEMENT INC|1069 STATE RT 46 EAST||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
Midwest Regional Office| 104633|801-36433|WHITNELL & CO|WHITNELL & CO|701 HARGER ROAD|SUITE 190|OAK BROOK IL 60523-1489|USA|||  ||DOYLE, MARK J.|630-575-2300|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|04/27/1990|0|0|0|0|0|0
Midwest Regional Office| 104634|801-10809|KIRR, MARBACH & COMPANY, LLC|KIRR, MARBACH & COMPANY, LLC|621 WASHINGTON STREET||COLUMBUS IN 47201|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
Midwest Regional Office| 104635|801-9895|DEAN INVESTMENT ASSOCIATES|DEAN INVESTMENT ASSOCIATES, LLC|2480 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
Midwest 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, Market timing services|APPROVED|08/14/1987|0|0|0|0|0|0
Midwest Regional Office| 104650|801-11184|FIFTH THIRD ASSET MANAGEMENT, INC.|FIFTH THIRD ASSET MANAGEMENT, INC.|38 FOUNTAIN SQUARE PLAZA|MD 1090D8|CINCINNATI OH 45202|USA|||  ||JAMES MAUTINO|513-534-7447|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/28/1975|0|0|0|0|0|0
Midwest 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
Midwest 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
Midwest 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|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters, Other|APPROVED|01/28/1988|0|0|0|0|0|0
Midwest 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
Midwest 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 J.|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
Midwest 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
Midwest Regional Office| 104693|801-32773|SCHWARTZ INVESTMENT COUNSEL INC|SCHWARTZ INVESTMENT COUNSEL INC|3707 W MAPLE RD||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
Midwest 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|||  ||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
Midwest Regional Office| 104705|801-60083|COMMERCE INVESTMENT ADVISORS, INC.|COMMERCE INVESTMENT ADVISORS, INC.|922 WALNUT STREET, 4TH FL.||KANSAS CITY MO 64106|USA|||  ||JOSEPH STEVEN REECE|(816) 234-2630|Corporation|Portfolio management for investment companies|APPROVED|04/03/2001|0|1|0|0|0|0
Midwest 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
Midwest Regional Office| 104724|801-5445|INVESTORS MANAGEMENT SERVICES INC|INVESTORS MANAGEMENT SERVICES INC|300 PARK, STE 310||BIRMINGHAM MI 48009|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
Midwest Regional Office| 104727|801-34723|MONETA GROUP INVESTMENT ADVISORS, LLC|MONETA GROUP INVESTMENT ADVISORS, LLC|700 CORPORATE PARK STE 300||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
Midwest 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
Midwest 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
Midwest 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|||  ||HOLM, RICHARD THOMAS|651-215-4414|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, Selection of other advisers|APPROVED|12/07/1966|0|0|0|0|0|0
Midwest 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
Midwest 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|STUART T. MEACHAM|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
Midwest 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|APPROVED|03/01/1984|0|0|0|0|0|0
Midwest Regional Office| 104792|801-31317|SECURITIES EVALUATION SERVICE INC|SECURITIES EVALUATION SERVICE INC|531 E ROOSEVELT RD STE 200||WHEATON IL 60187|USA|||  ||COUTURE, JAMES ROBERT|630-653-4100|Corporation|Portfolio management for investment companies, Security ratings or pricing services|APPROVED|02/18/1988|0|0|0|0|0|0
Midwest Regional Office| 104819|801-13754|ARNOLD INVESTMENT COUNSEL INC|ARNOLD INVESTMENT COUNSEL INC|700 N WATER ST||MILWAUKEE WI 53202|USA|||  ||GUST LILLI|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
Midwest 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
Midwest 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
Midwest 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
Midwest 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 investment companies, Other|APPROVED|12/30/1982|0|0|0|0|0|0
Midwest 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 businesses or institutional clients (other than investment companies)|APPROVED|03/20/1987|0|0|0|0|0|0
Midwest 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|APPROVED|12/08/1986|0|0|0|0|0|0
Midwest 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
Midwest 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
Midwest Regional Office| 104926|801-50488|MODERN PORTFOLIO MANAGEMNT INC|MODERN PORTFOLIO MANAGEMENT INC|1645 INDIAN WOOD CIRCLE||MAUMEE OH 43537|USA|||  ||JENNIFER ROGERS|(419)893-8000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/17/1995|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 104941|801-22150|BRODE MANAGEMENT GROUP LTD|BRODE MANAGEMENT GROUP LTD|49 ESTATE DR||GLENCOE IL 60022|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
Midwest 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
Midwest 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
Midwest Regional Office| 104968|801-21663|ROTHSCHILD SALE & ASSOCIATES INC|ROTHSCHILD SALE & ASSOCIATES INC|10845 OLIVE BOULEVARD|SUITE 303|ST LOUIS MO 63141|USA|||  ||MICHELLE HALEY|314-991-9100|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/25/1984|0|0|0|0|0|0
Midwest Regional Office| 104975|801-14843|NORTHERN CAPITAL MANAGEMENT LLC|NORTHERN CAPITAL MANAGEMENT LLC|8010 EXCELSIOR DRIVE|SUITE 300|MADISON WI 53717|USA|||  ||LUCAS, SARAH M|(608) 828-8109|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/20/1979|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 104978|801-36062|REGENT GROUP INC|THE REGENT GROUP, INC.|101 SOUTH FIFTH STREET|SUITE 3830|LOUISVILLE KY 40202|USA|||  ||NAISER, STEVEN  T|502-587-9114|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|03/16/1990|0|0|0|0|0|0
Midwest 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
Midwest 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
Midwest Regional Office| 104994|801-17827|KEELEY ASSET MANAGEMENT CORP|KEELEY ASSET MANAGEMENT CORP|401 S LASALLE ST., STE 1201||CHICAGO IL 60605|USA|||  ||FERRARI, MARY|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
Midwest Regional Office| 104995|801-36665|ATWOOD & PALMER, INC.|ATWOOD & PALMER, INC.|800 W 47TH ST., STE 705||KANSAS CITY MO 64112-1249|USA|||  ||PALMER, STEVEN NELSON|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
Midwest 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
Midwest 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|0|0|0|0|0
Midwest 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
Midwest 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
Midwest Regional Office| 105038|801-30209|FOCUS FINANCIAL ADVISORS, INC.|FOCUS FINANCIAL ADVISORS, INC.|6870 ROTE ROAD|SUITE 101|ROCKFORD IL 61107|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
Midwest Regional Office| 105040|801-50556|BAUM GEORGE K MERCHANT BANC LLC|BAUM GEORGE K MERCHANT BANC LLC|4801 MAIN STREET|SUITE 540|KANSAS CITY MO 64112|USA|||  ||PHILLIPS, KAREN SUE|816-474-1100X228|Limited Liability Company|Other|APPROVED|11/30/1995|0|0|0|0|0|0
Midwest Regional Office| 105044|801-23547|AMERICAN SUPERIOR COMPANY|AMERICAN SUPERIOR CO|9044 KARLOV AVE||SKOKIE IL 60076|USA|||  ||LIEBMAN, ALAN J|847-676-9100|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|02/22/1985|0|0|0|0|0|0
Midwest Regional Office| 105065|801-21988|STEELE INVESTMENT COUNSEL, LTD.|STEELE INVESTMENT COUNSEL, LTD.|32 W HOSTER ST., STE 250||COLUMBUS OH 43215-5632|USA|||  ||RAEUCHLE, DAVID R.|614-461-5901|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
Midwest 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
Midwest 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
Midwest Regional Office| 105133|801-35543|DOVER PARTNERS INC|DOVER PARTNERS INC|3033 S. KETTERING BLVD. STE 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
Midwest Regional Office| 105143|801-19769|COORDINATED FINANCIAL PLANNING CORP|COORDINATED FINANCIAL PLANNING CORP|4555 LAKE FOREST DRIVE #560||CINCINNATI OH 45242|USA|||  ||BENZ, BETH|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
Midwest 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
Midwest 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
Midwest Regional Office| 105157|801-15073|ANDERSON HOAGLAND & CO|ANDERSON HOAGLAND & CO|8112 MARYYLAND AVE., STE 270||ST LOUIS MO 63105|USA|||  ||ANDERSON, DAVID C.|314-726-2107|Corporation|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
Midwest 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
Midwest Regional Office| 105176|801-7942|SENTRY INVESTMENT MANAGEMENT INC|SENTRY INVESTMENT MANAGEMENT INC|1800 N POINT DRIVE||STEVENS POINT WI 54481|USA|||  ||PHILLIPS, SUSAN ELLEN|715-346-6383|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/14/1971|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 105181|801-35786|MPI INVESTMENT MANAGEMENT INC|MPI INVESTMENT MANAGEMENT INC|710 N. YORK RD.||HINSDALE IL 60521|USA|||  ||PEQUET, DAVID W.|630-325-6900|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|02/01/1990|0|2|0|0|0|0
Midwest 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|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|12/28/1989|0|0|1|0|0|0
Midwest 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|APPROVED|03/23/1990|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 105197|801-30842|SVA PLANNERS INC|SVA PLANNERS INC|1221 JOHN Q HAMMONS DRIVE||MADISON WI 53717-2912|USA|P.O. BOX 44966||MADISON WI 53744-4966|USA|KURT G. 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
Midwest 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
Midwest Regional Office| 105209|801-25520|JOHNSON ASSET MANAGEMENT INC|JOHNSON ASSET MANAGEMENT INC|555 MAIN ST.  SUITE 440||RACINE WI 53403|USA|||  ||MARY DAVIS|262-619-2873|Corporation|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|10/18/1985|0|0|0|0|0|0
Midwest Regional Office| 105245|801-29095|TEALWOOD MANAGEMENT INC|TEALWOOD ASSET MANAGEMENT INC|1133 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
Midwest 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
Midwest 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, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|02/22/1985|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 105271|801-23853|VINTAGE FINANCIAL SERVICES LLC|VINTAGE FINANCIAL SERVICES LLC|401 NORTH MAIN STREET||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
Midwest 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
Midwest 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
Midwest Regional Office| 105279|801-28534|WINDSOR GROUP LTD|WINDSOR GROUP LTD|500 E. 96TH STREET, SUITE 450||INDIANAPOLIS IN 46240|USA|||  ||CLARK, RANDALL|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
Midwest 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
Midwest Regional Office| 105307|801-29336|CLEARWATER MANAGEMENT COMPANY, INC.|CLEARWATER MANAGEMENT COMPANY, INC.|30 EAST 7TH STREET, SUITE 2000||ST PAUL MN 55101|USA|||  ||HOLM, RICHARD THOMAS|651-215-4414|Corporation|Portfolio management for investment companies, Selection of other advisers, Other|APPROVED|04/27/1987|0|0|0|0|0|0
Midwest Regional Office| 105327|801-15741|WEATHERFIELD CAPITAL MANAGEMENT|WEATHERFIELD CAPITAL RESOURCES|103 N TAYLOR AVE||ST. LOUIS MO 63122|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
Midwest 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|APPROVED|10/27/1989|0|0|0|0|0|0
Midwest 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|||  ||PITTS, LARRY KEITH|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
Midwest Regional Office| 105337|801-22431|GARDEY FINANCIAL ADVISORS LLC|GARDEY FINANCIAL ADVISORS LLC|100 HARROW LANE||SAGINAW MI 48638|USA|||  ||GARDEY, KIM MCNEIL|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
Midwest 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
Midwest Regional Office| 105363|801-24450|LANCZ ALAN B & ASSOCIATES INC|LANCZ ALAN B & ASSOCIATES INC|2400 N REYNOLDS RD||TOLEDO OH 43615|USA|||  ||CYNTHIA BLAKE|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
Midwest 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
Midwest Regional Office| 105369|801-18378|WEALTH PLANNING CORP|WEALTH PLANNING CORP|3801 SHARON PARK LANE, SUITE 125||CINCINNATI OH 45241|USA|||  ||DANIEL, WADE K|(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
Midwest Regional Office| 105370|801-8809|THE CLIFTON GROUP INVESTMENT MANAGEMENT COMPANY|THE CLIFTON GROUP INVESTMENT MANAGEMENT COMPANY|309 CLIFTON AVE||MINNEAPOLIS MN 55403|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
Midwest Regional Office| 105374|801-20567|JJP CAPITAL MANAGEMENT, INC.|PASCUCCI JOHN JOSEPH|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
Midwest Regional Office| 105376|801-17430|INVESTORS MANAGEMENT GROUP LTD|INVESTORS MANAGEMENT GROUP LTD|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), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|08/05/1982|0|0|0|0|0|0
Midwest Regional Office| 105381|801-32896|MARTIN INVESTMENT MANAGEMENT, LLC|MARTIN INVESTMENT MANAGEMENT, LLC|1007 CHURCH STREET|SUITE 530|EVANSTON IL 60201|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
Midwest 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|SOLT, ROBERT HOWARD|563-288-2773|Corporation|Portfolio management for investment companies|APPROVED|09/27/1972|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 105428|801-20893|SPERO-SMITH INVESTMENT ADVISERS, INC.|SPERO-SMITH INVESTMENT ADVISERS, INC.|3601 GREEN ROAD, SUITE 102||BEACHWOOD OH 44122-5719|USA|||  ||FARKAS, DENISE|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
Midwest Regional Office| 105432|801-28444|GENEVA CAPITAL MANAGEMENT LTD|GENEVA CAPITAL MANAGEMENT LTD|250 E WISCONSIN AVENUE, SUITE 1050||MILWAUKEE WI 53202|USA|||  ||CROEN, AMY S|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)|APPROVED|12/04/1986|0|0|0|0|0|0
Midwest Regional Office| 105435|801-11335|NORTHERN OAK CAPITAL MANAGEMENT, INC.|NORTHERN OAK CAPITAL MANAGEMENT, INC.|250 EAST WISCONSIN AVE|SUITE 800|MILWAUKEE WI 53202|USA|||  ||ZELLMER, MARK R|414-278-0590|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/13/1976|0|0|0|0|0|0
Midwest Regional Office| 105439|801-33659|ACCREDITED INVESTORS INC|ACCREDITED INVESTORS INC|5200 WEST 73RD STREET||EDINA MN 55439|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
Midwest Regional Office| 105440|801-31747|DATATEX INVESTMENT SERVICES INC|DATATEX INVESTMENT SERVICES INC|7800 FORSYTH AVE|SEVENTH FLOOR|CLAYTON MO 63105|USA|||  ||CHAMBERS, ROBERT LEWIS|314 236 2444|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
Midwest Regional Office| 105443|801-21675|EIDELMAN CAPITAL MANAGEMENT|EIDELMAN CAPITAL MANAGEMENT|225 S. MERAMEC AVE. STE 722||ST LOUIS MO 63105|USA|||  ||EIDELMAN, THOMAS|314-727-9686|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|07/16/1984|0|0|0|0|0|0
Midwest Regional Office| 105457|801-22337|CEDAR HILL ASSOCIATES INC|CEDAR HILL ASSOCIATES INC|600 CENTRAL AVENUE|SUITE 138|HIGHLAND PARK IL 60035-3211|USA|||  ||COLE, ALAN|847-861-8320|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|09/24/1984|0|0|0|0|0|0
Midwest Regional Office| 105470|801-32097|PARLAN FINANCIAL CORP|PARLAN FINANCIAL CORP|5942 RENAISSANCE PLACE STE. C||TOLEDO OH 43623|USA|||  ||KREILICK, CHAD|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
Midwest 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
Midwest 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
Midwest 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
Midwest Regional Office| 105476|801-32440|JMI FINANCIAL SERVICES, INC|JMI FINANCIAL SERVICES, INC|20545 CENTER RIDGE ROAD|#42|ROCKY RIVER OH 44116|USA|||  ||IZQUIERDO, JOHN|440-333-5300|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|09/16/1988|0|0|0|0|0|0
Midwest 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|APPROVED|09/03/1980|1|0|0|0|0|0
Midwest Regional Office| 105481|801-32612|STOKES & STOCKING INC|STOKES & STOCKING INC|96 MONROE CENTER NW|SUITE 305|GRAND RAPIDS MI 49503|USA|||  ||DIRK, RACETTE G|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|08/09/1988|0|0|0|0|0|0
Midwest 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)|APPROVED|05/15/1986|1|0|0|0|0|0
Midwest Regional Office| 105489|801-33691|HEITMAN INSTITUTIONAL REALTY ADVISORS, L.P.|HEITMAN INSTITUTIONAL REALTY 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)|APPROVED|01/13/1989|1|0|0|0|0|0
Midwest Regional Office| 105491|801-7715|ROULSTON & CO INC|ROULSTON & CO INC|3636 EUCLID AVENUE|SUITE 3000|CLEVELAND OH 44115|USA|||  ||COLEMAN, KENNETH JOHN|216-431-3833|Corporation|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|09/20/1971|0|0|0|0|0|0
Midwest 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)|APPROVED|05/15/1986|1|0|0|0|0|0
Midwest Regional Office| 105495|801-24721|RACHOR INVESTMENT ADVISORY SERVICES, L.L.C.|RACHOR INVESTMENT ADVISORY SERVICES, L.L.C.|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
Midwest 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
Midwest 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
Midwest Regional Office| 105530|801-36381|LEONETTI & ASSOCIATES INC|LEONETTI & ASSOCIATES INC|1130 LAKE COOK ROAD|SUITE 300|BUFFALO GROVE IL 60089-1976|USA|||  ||O'BRIEN, JOHN R.|847-520-0999|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|04/13/1990|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 105554|801-17911|MARTIN J D & CO|MARTIN J D & CO|615 GRISWOLD STREET|STE 408|DETROIT MI 48226|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
Midwest Regional Office| 105560|801-28435|GENWORTH FINANCIAL PLANNING CORPORATION|GENWORTH FINANCIAL PLANNING CORPORATION|200 NORTH MARTINGALE ROAD|7TH FLOOR|SCHAUMBURG IL 60173|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), Selection of other advisers|APPROVED|12/24/1986|0|6|1|0|0|0
Midwest 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), Pension consulting services, Selection of other advisers|APPROVED|03/04/1988|0|0|0|0|0|0
Midwest 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, Publication of periodicals or newsletters, Other|APPROVED|04/04/1986|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 105596|801-17219|ENNIS KNUPP & ASSOCIATES INC|ENNIS KNUPP & ASSOCIATES INC|10 S RIVERSIDE PLAZA|STE 1600|CHICAGO IL 60606|USA|||  ||PRITZ, GREGORY J.|(312) 715-1700|Corporation|Pension consulting services, Selection of other advisers|APPROVED|05/21/1982|0|0|0|0|0|0
Midwest Regional Office| 105609|801-6618|JAY A. FISHMAN, LTD|FISHMAN JAY A LTD|101 WEST BIG BEAVER ROAD|SUITE 1125|TROY MI 48084-5253|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
Midwest Regional Office| 105622|801-31878|BLACK CAPITAL MANAGEMENT, LLC|BLACK CAPITAL MANAGEMENT, LLC|11400 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
Midwest Regional Office| 105624|801-23954|FAIRLANE INVESTMENT ADVISORS INC|FAIRLANE INVESTMENT ADVISORS INC|3 PARKLANE BLVD., SUITE 1015 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
Midwest Regional Office| 105631|801-9613|MERCER INVESTMENT CONSULTING, INC.|MERCER INVESTMENT CONSULTING, INC.|10 SOUTH WACKER DRIVE|SUITE 1700|CHICAGO IL 60606|USA|1166 AVENUE OF THE AMERICAS|3RD FLOOR|NEW YORK NY 10036|USA|GOLDENBERG, DAVID M.|(212) 345-6531|Corporation|Pension consulting services, Selection of other advisers|APPROVED|11/08/1973|0|1|2|0|0|0
Midwest 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
Midwest Regional Office| 105636|801-22646|RICHARDS & TIERNEY INC|RICHARDS & TIERNEY INC|111 WEST JACKSON BLVD SUITE 1411||CHICAGO IL 60604|USA|||  ||MARY BETH EIERMANN|312-461-1100|Corporation|Pension consulting services, Other|APPROVED|11/02/1984|0|0|0|0|0|0
Midwest 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 50392-2080|USA|ROUGHTON, MICHAEL D.|(515) 248-3842|Corporation|Portfolio management for investment companies, Selection of other advisers|APPROVED|12/14/1971|0|0|0|0|0|0
Midwest Regional Office| 105644|801-20406|GENWORTH FINANCIAL ADVISERS CORPORATION|GENWORTH FINANCIAL ADVISERS CORPORATION|200 NORTH MARTINGALE ROAD|SEVENTH FLOOR|SCHAUMBURG IL 60173-2096|USA|3001 SUMMER STREET|SECOND FLOOR|STAMFORD CT 06905|USA|NORM MINDEL|847-330-7902|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|01/13/1984|1|3|1|0|0|0
Midwest 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|||  ||HEICHEL, WILLIAM DAVID|419-526-2060|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|0|0|0|0|0
Midwest 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
Midwest 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|2|2|0|0|0
Midwest Regional Office| 105663|801-19825|LOTSOFF CAPITAL MANAGEMENT|LOTSOFF CAPITAL MANAGEMENT|20 N. CLARK STREET|34TH FLOOR|CHICAGO IL 60602-4109|USA|||  ||NOBLE, DONNA|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), Pension consulting services|APPROVED|10/07/1983|0|0|0|0|0|0
Midwest Regional Office| 105664|801-25433|TRUEPOINT CAPITAL, LLC|TRUEPOINT CAPITAL, LLC|4901 HUNT ROAD, SUITE 200||CINCINNATI OH 45242|USA|||  ||CARROLL, JANEL|513-792-6648|Limited Liability Company|Financial 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
Midwest 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
Midwest 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
Midwest Regional Office| 105674|801-33554|HARTLAND & CO|HARTLAND & CO|600 SUPERIOR AVE EAST, #1040||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
Midwest 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)|APPROVED|04/02/1990|0|0|0|0|0|0
Midwest Regional Office| 105689|801-28513|KABAREC FINANCIAL ADVISORS LTD|KABAREC FINANCIAL ADVISORS LTD|220 N. SMITH ST.|SUITE 220|PALATINE IL 60067|USA|||  ||KABAREC, KAREN|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
Midwest Regional Office| 105695|801-34582|SIT/KIM INTERNATIONAL INVESTMENT ASSOCIATES, INC.|SIT/KIM INTERNATIONAL 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|06/08/1989|0|0|0|0|0|0
Midwest 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
Midwest 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
Midwest Regional Office| 105735|801-8846|LEGACY CAPITAL PARTNERS, INC.|LEGACY CAPITAL PARTNERS, INC.|250 E WISCONSIN AVE||MILWAUKEE WI 53202|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
Midwest Regional Office| 105747|801-28377|SUMMIT INVESTMENT PARTNERS, INC.|SUMMIT INVESTMENT PARTNERS, INC.|312 ELM STREET, SUITE 1212||CINCINNATI OH 45202|USA|||  ||LABMEIER, JOHN FRANCIS|513-595-2470|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
Midwest Regional Office| 105749|801-18127|STRATFORD ADVISORY GROUP INC|STRATFORD ADVISORY GROUP INC|500 W MADISON STREET|SUITE 2740|CHICAGO IL 60661|USA|||  ||HORVATH, CHRISTINE L.|312-798-3200|Corporation|Pension consulting services, Selection of other advisers|APPROVED|01/13/1983|0|0|0|0|0|0
Midwest Regional Office| 105752|801-13695|FFP INVESTMENT ADVISORS INC|FFP INVESTMENT ADVISORS INC|RIVERVIEW OFFICE TOWER, SUITE 350|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|5|0|0|0|0
Midwest Regional Office| 105753|801-5182|WILSON, KEMP & ASSOCIATES, INC.|WILSON, KEMP & ASSOCIATES, INC.|400 RENAISSANCE CENTER|SUITE 2155|DETROIT MI 48243|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
Midwest 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
Midwest Regional Office| 105758|801-29688|CALAMOS ADVISORS LLC|CALAMOS ADVISORS LLC|1111 EAST WARRENVILLE ROAD||NAPERVILLE IL 60563-1493|USA|||  ||HAMMAN, JAMES S. (JR.)|630-245-7296|Limited Liability Company|Portfolio 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
Midwest 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
Midwest 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 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|0|1|2|0|0|0
Midwest Regional Office| 105780|801-33358|NORTHERN TRUST INVESTMENTS, NATIONAL ASSOCIATION.|NORTHERN TRUST INVESTMENTS, NATIONAL ASSOCIATION.|181 W. MADISON||CHICAGO IL 60675|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)|APPROVED|11/25/1988|0|0|1|0|0|0
Midwest 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
Midwest 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|HOAG, WESLEY FALLON|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), Market timing services|APPROVED|03/16/1974|0|0|0|0|0|0
Midwest 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
Midwest 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)|APPROVED|12/03/1982|0|0|0|0|0|0
Midwest 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
Midwest 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
Midwest Regional Office| 105826|801-30686|LEUTHOLD WEEDEN CAPITAL MANAGEMENT|THE LEUTHOLD GROUP, LLC|100 N 6TH STREET, STE 412A||MINNEAPOLIS MN 55403|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, Other|APPROVED|10/16/1987|0|0|0|0|0|0
Midwest Regional Office| 105833|801-33990|YOUNG PAUL H & ASSOCIATES|YOUNG PAUL HELMER JR|1034 S BRENTWOOD BLVD|STE 1901|ST LOUIS MO 63117|USA|||  ||YOUNG, PAUL HELMER|(314) 725-1787|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|03/06/1989|0|0|0|0|0|0
Midwest Regional Office| 105834|801-15323|KENNEDY CAPITAL MANAGEMENT|KENNEDY CAPITAL MANAGEMENT INC|10829 OLIVE BLVD||ST LOUIS MO 63141-7739|USA|||  ||CRIBBS, CHARLOTTE D|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
Midwest 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|GERALD E DENOR|262-782-3586|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
Midwest 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
Midwest Regional Office| 105895|801-35836|LABRECQUE JACKSON PRICE & ROEHL LLC|LABRECQUE JACKSON PRICE & ROEHL LLC|4555 INVESTMENT DRIVE|SUITE 304|TROY MI 48098|USA|||  ||KRENCICKI, MICHAEL J|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
Midwest Regional Office| 105901|801-30171|HOLT SMITH & YATES ADVISORS INC|HOLT SMITH & YATES ADVISORS INC|2810 CROSSROADS DRIVE, STE 4900||MADISON WI 53718|USA|||  ||KORTH, BETH A.|608-249-4488|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|0|0|0|0
Midwest Regional Office| 105902|801-40745|THOR INVESTMENT MANAGEMENT INC|THOR INVESTMENT MANAGEMENT INC|6902 MURRAY AVE.||CINCINNATI OH 45227|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), Selection of other advisers|APPROVED|02/13/1992|0|0|0|0|0|0
Midwest Regional Office| 105904|801-33446|PAYNE FINANCIAL ADVISORS, INC.|PAYNE FINANCIAL ADVISORS, INC.|2709 WASHINGTON AVE|SUITE 112|EVANSVILLE IN 47714|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
Midwest 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
Midwest 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|||  ||RADOMSKI, PAUL A.|513-723-4500|Limited Liability Company|Portfolio 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
Midwest 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), Publication of periodicals or newsletters|APPROVED|11/01/1940|0|0|0|0|0|0
Midwest 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|0|0|0|0|0
Midwest Regional Office| 105950|801-33485|VANTAGE FINANCIAL GROUP, INC.|VANTAGE FINANCIAL GROUP, INC.|6200 ROCKSIDE ROAD|SUITE 100|CLEVELAND OH 44131|USA|||  ||TAYLOR, AUTUMN A.|216-642-7878|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
Midwest 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), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|01/04/1983|0|0|0|0|0|0
Midwest 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
Midwest 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 businesses or institutional clients (other than investment companies)|APPROVED|04/24/1989|0|0|0|0|0|0
Midwest 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
Midwest 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
Midwest 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
Midwest 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
Midwest Regional Office| 106037|801-33642|GORDON ROBERT & ASSOCIATES INC|GORDON ROBERT & ASSOCIATES INC|1201 VETERANS PARKWAY STE A||SPRINGFIELD IL 62704|USA|||  ||GORDON,ROBERT A|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
Midwest 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
Midwest 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
Midwest Regional Office| 106061|801-21884|ACS INVESTMENT ADVISORS INC|ACS INVESTMENT ADVISORS INC|617 N SEGOE RD STE 202||MADISON WI 53705|USA|||  ||PATRICIA A SHEEHAN|608/233-3119|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|08/06/1984|0|0|0|0|0|0
Midwest 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
Midwest 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
Midwest Regional Office| 106068|801-44691|FINANCIAL MANAGEMENT GROUP INC|FINANCIAL MANAGEMENT GROUP INC|10979 REED HARTMAN HWY|SUITE 209|CINCINNATI OH 45242|USA|||  ||SIEGMANN, ROBERT N|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
Midwest 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
Midwest 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
Midwest 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
Midwest 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
Midwest 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|APPROVED|08/19/1994|0|0|0|0|0|0
Midwest 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
Midwest 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|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|1|0|0|0
Midwest 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
Midwest 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
Midwest Regional Office| 106160|801-52668|MITCHELL VAUGHT & TAYLOR INC|MITCHELL VAUGHT & TAYLOR INC|124 S WEBSTER, SUITE 202||NAPERVILLE IL 60540|USA|||  ||VAUGHT,DAVID H|630-778-8015|Corporation|Financial planning services, Portfolio management 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
Midwest 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
Midwest 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
Midwest Regional Office| 106172|801-47928|HORIZON CASH MANAGEMENT LLC|HORIZON CASH MANAGEMENT LLC|325 WEST HURON, SUITE 808||CHICAGO IL 60610|USA|||  ||PAULINE SLAGER|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
Midwest 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
Midwest 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)|APPROVED|05/10/1994|0|0|0|0|0|0
Midwest 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
Midwest 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|||  ||CURELY, FRANCIS X|212-837-1275|Corporation|Portfolio 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|2|11|11|0|0|0
Midwest Regional Office| 106202|801-47149|KAREL GORDON INVESTMENT ASSOCIATES INC|KAREL GORDON INVESTMENT ASSOCIATES INC|707 SKOKIE BLVD|SUITE 200|NORTHBROOK IL 60062|USA|||  ||SACKS, RICHARD HARRIS|847-564-5655|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Market timing services|APPROVED|08/22/1994|0|5|0|0|0|0
Midwest 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
Midwest 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
Midwest 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
Midwest 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
Midwest 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
Midwest 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
Midwest Regional Office| 106240|801-53888|BAM ADVISOR SERVICES LLC|BAM ADVISOR SERVICES, L.L.C.|8182 MARYLAND AVE., STE. 900||ST. LOUIS MO 63105|USA|||  ||MONT S. LEVY|314-743-2210|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|03/14/1997|0|0|0|0|0|0
Midwest 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), Pension consulting services, Selection of other advisers|APPROVED|06/22/1994|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 106252|801-53672|BUFKA & RODGERS LLC|BUFKA & RODGERS LLC|20 N MARTINGALE RD STE 250||SCHAUMBURG IL 60173-2433|USA|||  ||MEAD, DAVID L.|(847) 240-2240|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/21/1997|0|0|0|0|0|0
Midwest Regional Office| 106258|801-34768|KENWOOD GROUP INC|KENWOOD GROUP INC|10 SOUTH LASALLE STE 3610||CHICAGO IL 60603|USA|||  ||HARDY, CYNTHIA|312-368-1666|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|06/23/1989|0|0|0|0|0|0
Midwest Regional Office| 106269|801-43993|EVANSTON INVESTMENTS INC|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|APPROVED|05/21/1993|0|0|0|0|0|0
Midwest Regional Office| 106279|801-45623|TREND DYNAMICS INC|TREND DYNAMICS INC|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
Midwest 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
Midwest Regional Office| 106285|801-44594|JRP CAPITAL CORP|JRP CAPITAL CORP|1630 GRANDVIEW AVE||COLUMBUS OH 43212|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
Midwest Regional Office| 106288|801-48064|MORGAN DEMPSEY CAPITAL MANAGEMENT LLC|MORGAN DEMPSEY CAPITAL MANAGEMENT LLC|1511 W MARKET ST||MEQUON WI 53092-5053|USA|||  ||PLISKE, 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)|APPROVED|12/19/1994|0|0|0|0|0|0
Midwest Regional Office| 106303|801-48371|CORNERSTONE ADVISORS INC|CORNERSTONE ADVISORS INC|1200 NORTH ASHLAND AVE.|SUITE 522|CHICAGO IL 60622|USA|||  ||TUNG, JOHN|312-750-0706|Corporation|Pension consulting services|APPROVED|01/30/1994|0|0|0|0|0|0
Midwest Regional Office| 106305|801-53866|THE BANC FUNDS COMPANY, L.L.C.|THE BANC FUNDS COMPANY, L.L.C.|208 SOUTH LASALLE STREET|SUITE 1680|CHICAGO IL 60604|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
Midwest Regional Office| 106309|801-48059|MARCO INVESTMENT SERVICES INC|MARCO INVESTMENT SERVICES INC|550 WEST WASHINGTON, 9TH FL||CHICAGO IL 60661|USA|||  ||KINCZEWSKI, GREG A.|312/575-9000|Corporation|Pension consulting services, Selection of other advisers, Other|APPROVED|12/16/1994|0|0|0|0|0|0
Midwest 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|MICHAEL D. AXEL|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
Midwest Regional Office| 106328|801-42434|CS CAPITAL MANAGEMENT INC|CS CAPITAL MANAGEMENT INC|ONE AMERICAN SQUARE|SUITE 2610|INDIANAPOLIS IN 46282|USA|||  ||DOST, 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|0|0|0|0
Midwest 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
Midwest Regional Office| 106333|801-46092|BUCKINGHAM ASSET MANAGEMENT INC|BUCKINGHAM ASSET MANAGEMENT INC|8182 MARYLAND AVENUE|SUITE 900|ST. LOUIS MO 63105|USA|||  ||MONT S. LEVY|314-743-2210|Corporation|Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|03/18/1994|0|0|0|0|0|0
Midwest 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
Midwest 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
Midwest Regional Office| 106353|801-50388|PRAIRIE CAPITAL MANAGEMENT INC|PRAIRIE CAPITAL MANAGEMENT INC|4801 MAIN STREET|SUITE 520|KANSAS CITY MO 64112|USA|||  ||PHILLIPS, KAREN SUE|816-283-5228|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|10/20/1995|0|0|0|0|0|0
Midwest 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|||  ||MAROTZ|312-91303953|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
Midwest Regional Office| 106365|801-20825|REIS GEORGE V INVESTMENT ADVISORS INC|GEORGE V. REIS INVESTMENT GROUP, INC.|1413 22ND STREET||TWO RIVERS WI 54241|USA|P.O. BOX 388||TWO RIVERS WI 54241|USA|REIS, MARY L|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)|APPROVED|03/05/1984|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 106376|801-38709|HOLLAND CAPITAL MANAGEMENT LP|HOLLAND CAPITAL MANAGEMENT LP|ONE NORTH WACKER DRIVE|SUITE 700|CHICAGO IL 60606|USA|||  ||CHAMBERLAIN, SUSAN|312-553-4844|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|05/02/1991|0|0|0|0|0|0
Midwest 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 businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|08/29/1995|0|0|0|0|0|0
Midwest 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, Market timing services|APPROVED|06/19/1992|0|0|0|0|0|0
Midwest Regional Office| 106398|801-48195|FINANCIAL COUNSELORS INC|FINANCIAL COUNSELORS INC|442 WEST 47TH STREET||KANSAS CITY MO 64112-1903|USA|||  ||MCNAMARA, ELIZABETH G.|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), Other|APPROVED|01/12/1995|0|0|0|0|0|0
Midwest Regional Office| 106413|801-41823|W.L. ACHENBACH & ASSOCIATES, INC.|ACHENBACH W L & ASSOCIATES INC|7 SOUTH SECOND AVENUE||ST CHARLES IL 60174|USA|||  ||FLEMING, KATHLEEN D|630-584-7785|Corporation|Financial planning services, Selection of other advisers|APPROVED|07/23/1992|0|0|0|0|0|0
Midwest Regional Office| 106414|801-47007|HEMSLEY & ASSOCIATES, LTD.|HEMSLEY & ASSOCIATES, LTD.|432 N HOUGH STREET||BARRINGTON IL 60010|USA|||  ||ASTRA VALAITIS, NIJOLE M|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
Midwest 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
Midwest 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
Midwest Regional Office| 106432|801-40278|REINHART & MAHONEY CAPITAL MANAGEMENT, INC.|REINHART & MAHONEY CAPITAL MANAGEMENT, INC.|1500 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
Midwest Regional Office| 106443|801-50453|WILLIAMS C R INC|WILLIAMS C R INC|12977 N FORTY DRIVE STE 301||ST LOUIS MO 63141|US|||  ||WILLIAMS III, CHARLES RUSSELL|314-469-2900|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|11/27/1995|0|1|0|0|0|0
Midwest Regional Office| 106453|801-48537|FINCH ASSOCIATES|FINCH JAMES AUSTIN III|8155 KINGSBURY BLVD||CLAYTON MO 63105|USA|P O BOX 16523||CLAYTON MO 63105|USA|FINCH, JAMES A|314-725-8111|Sole Proprietorship|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/22/1995|0|0|0|0|0|0
Midwest 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|RANDALL|312-461-3922|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/17/1989|0|0|0|0|0|0
Midwest 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
Midwest 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
Midwest 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 investment companies, 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
Midwest Regional Office| 106528|801-51533|OPUS CAPITAL MANAGEMENT INC|OPUS CAPITAL MANAGEMENT INC|1 WEST FOURTH STREET|SUITE 415|CINCINNATI OH 45202|USA|||  ||JOSEPH P CONDREN|513-621-6787|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|03/18/1996|0|0|0|0|0|0
Midwest 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
Midwest 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
Midwest Regional Office| 106555|801-51809|WHITE OAKS WEALTH ADVISORS INC|WHITE OAKS WEALTH ADVISORS INC|FOSHAY TOWER, 25TH FLOOR|821 MARQUETTE AVENUE|MINNEAPOLIS MN 55402|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
Midwest 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
Midwest 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, Other|APPROVED|08/13/1987|0|0|0|0|0|0
Midwest Regional Office| 106588|801-49898|MCCABE & ASSOCIATES, INC|MCCABE & ASSOCIATES, INC|9480 ENTERPRISE DRIVE, SUITE 1||MOKENA IL 60448-8321|USA|||  ||MCCABE, TIMOTHY CARLIN|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
Midwest Regional Office| 106596|801-40681|CATERPILLAR INVESTMENT MANAGEMENT LTD|CATERPILLAR INVESTMENT MANAGEMENT LTD|411 HAMILTON BLVD., SUITE 1200||PEORIA IL 61602-3106|USA|||  ||PATTERSON, MATTHEW J.|(309) 494-1725|Corporation|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|01/31/1992|0|2|0|0|0|0
Midwest Regional Office| 106599|801-20398|PLANCORP, INC.|PLANCORP INC|1350 TIMBERLAKE MANOR PARKWAY, SUITE 100||CHESTERFIELD MO 63017|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), Pension consulting services|APPROVED|01/14/1984|0|0|0|0|0|0
Midwest 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
Midwest 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|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|10/02/1995|0|0|0|0|0|0
Midwest Regional Office| 106610|801-48430|CAPELLI FINANCIAL SERVICES INC|CAPELLI FINANCIAL SERVICES INC|40950 WOODWARD AVENUE, SUITE 140||BLOOMFIELD HILLS MI 48304-2260|USA|||  ||DIMITROFF, MARILYN CAPELLI|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
Midwest Regional Office| 106616|801-42906|SPARROW CAPITAL MANAGEMENT INC|SPARROW CAPITAL MANAGEMENT INC|11330 OLIVE BLVD, SUITE 230||ST. LOUIS MO 63141|USA|||  ||DAVID PRESSON|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)|APPROVED|12/01/1992|0|0|0|0|0|0
Midwest 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
Midwest 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|||  ||PLUMLEY, JEAN M|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
Midwest Regional Office| 106622|801-25427|CANTLON MICHAEL FRANCIS|CANTLON MICHAEL FRANCIS|41 W 671 BURLINGTON RD||ST CHARLES IL 60175|USA|||  ||CANTLON, MICHAEL FRANCIS|630-584-4508|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|10/04/1985|0|0|0|0|0|0
Midwest 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|APPROVED|05/07/1996|0|0|0|0|0|0
Midwest Regional Office| 106632|801-17712|RAV FINANCIAL SERVICES, LLC|RAV FINANCIAL SERVICES, LLC|2000 AUBURN DRIVE|SUITE 310|BEACHWOOD OH 44122|USA|||  ||BOEHNLEIN, CHRISTINE|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
Midwest Regional Office| 106639|801-49269|BULL GROUP ADVISORS LTD|BULL GROUP ADVISORS LTD|9435 WATERSTONE BOULEVARD|SUITE 120|CINCINNATI OH 45249|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
Midwest 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
Midwest Regional Office| 106655|801-43111|DIAMOND CAPITAL MANAGEMENT INC|DIAMOND CAPITAL MANAGEMENT INC|1320 WALDO AVENUE||MIDLAND MI 48642|USA|||  ||SIEMEN, LANCE|989-636-9867|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/21/1993|0|0|0|0|0|0
Midwest Regional Office| 106665|801-43526|D.A. HUDSON & ASSOCIATES|D.A. HUDSON & ASSOCIATES|614 W. SUPERIOR AVENUE, SUITE 1211||CLEVELAND OH 44113|USA|||  ||RODAK, JOHN MICHAEL|216-623-1199|Corporation|Pension consulting services, Selection of other advisers|APPROVED|03/16/1993|0|0|0|0|0|0
Midwest 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
Midwest 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
Midwest 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, Pension consulting services, Selection of other advisers|APPROVED|05/18/1994|0|0|0|0|0|0
Midwest Regional Office| 106682|801-46417|IRON FINANCIAL MANAGEMENT INC|IRON FINANCIAL MANAGEMENT INC|TWO NORTHFIELD PLAZA|SUITE 250|NORTHFIELD IL 60093|USA|||  ||LAKIN, RICHARD L|847-501-3511|Corporation|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
Midwest 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
Midwest Regional Office| 106691|801-38828|HEIM & YOUNG ADVISORS INC|HEIM & YOUNG 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
Midwest 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
Midwest Regional Office| 106697|801-44008|NORDSTROM PENSION CONSULTING CO|NORDSTROM KARL ALAN|5400 INVERRARY LANE||COMMERCE TWP MI 48382-1009|USA|||  ||NORDSTROM, KARL ALAN|248-684-4015|Sole Proprietorship|Pension consulting services, Selection of other advisers|APPROVED|05/27/1993|0|0|0|0|0|0
Midwest Regional Office| 106700|801-50824|GATEWAY INVESTMENT ADVISERS LP|GATEWAY INVESTMENT ADVISERS LP|ROOKWOOD TOWER|3805 EDWARDS ROAD, STE 600|CINCINNATI OH 45209-1940|USA|||  ||DONNA SQUERI|(513)719-1100|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|12/18/1995|0|1|0|0|0|0
Midwest 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
Midwest Regional Office| 106702|801-47219|DEMERS FINANCIAL PLANNING|DEMERS CONNIEE 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
Midwest 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|1|0|0|0|0
Midwest Regional Office| 106720|801-48820|DIMEO SCHNEIDER & ASSOCIATES LLC|DIMEO SCHNEIDER & ASSOCIATES LLC|500 WEST MADISON STREET|SUITE 3855|CHICAGO IL 60661|USA|||  ||KRELLE, LAURA DIANE|312-853-1000|Limited Liability Company|Financial planning services, Pension consulting services, Other|APPROVED|03/27/1995|0|0|0|0|0|0
Midwest 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|APPROVED|11/20/1991|0|0|0|0|0|0
Midwest Regional Office| 106746|801-53297|DISCIPLINED GROWTH INVESTORS INC|DISCIPLINED GROWTH INVESTORS INC|100 SOUTH FIFTH STREET, STE 2100||MINNEAPOLIS MN 55402|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
Midwest Regional Office| 106747|801-36840|REAL ESTATE RESEARCH CORP|REAL ESTATE RESEARCH CORP|99 EAST BREMER AVENUE||WAVERLY IA 50677|USA|||  ||RIGGS, KENNETH P|319-352-1500|Corporation|Pension consulting services, Publication of periodicals or newsletters|APPROVED|07/16/1990|0|0|0|0|0|0
Midwest Regional Office| 106751|801-33440|FURE FINANCIAL CORPORATION|FURE FINANCIAL CORPORATION|7520 MARKET PLACE DRIVE||EDEN PRAIRIE MN 55344|USA|||  ||FURE, JOHANNES CARL|952-944-8250|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|10/01/1988|0|0|0|0|0|0
Midwest 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
Midwest 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
Midwest Regional Office| 106766|801-40622|RESOURCES INVESTMENT ADVISORS INC|RESOURCES INVESTMENT ADVISORS INC|10200 HOLMES RD||KANSAS CITY MO 64131|USA|||  ||ALANA D SCOTT|816-942-5000|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
Midwest 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|Financial planning services, Portfolio management for 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
Midwest 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
Midwest Regional Office| 106792|801-44672|WNA INVESTMENT PROGRAMS INC|WNA INVESTMENT PROGRAMS 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
Midwest Regional Office| 106797|801-37037|FORTALEZA ASSET MANAGEMENT INC|FORTALEZA ASSET MANAGEMENT INC|200 W ADAMS STREET|SUITE 2000|CHICAGO IL 60606|USA|||  ||DIANA GONZALES ILLYAS|312-621-6111|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/27/1990|0|0|0|0|0|0
Midwest Regional Office| 106799|801-47613|CHERRY TREE INVESTMENTS INC|CHERRY TREE INVESTMENTS INC|301 CARLSON PARKWAY|SUITE 103|MINNETONKA MN 55305|USA|||  ||BORTNEM, JANE MARIE|952-893-9012|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/06/1994|0|0|0|0|0|0
Midwest Regional Office| 106804|801-52260|NOTTINGHILL INVESTMENT ADVISERS, LTD|NOTTINGHILL INVESTMENT ADVISERS LTD|SOUTHAMPTON SQUARE|7414 JAGER COURT|CINCINNATI OH 45230|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
Midwest 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
Midwest 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
Midwest 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
Midwest 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
Midwest 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|HOAG, WESLEY FALLON|614-766-7000|Corporation|Portfolio management for individuals and/or small businesses, Market timing services|APPROVED|10/23/1991|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 106816|801-37125|PRODUCTIVE PORTFOLIOS, INC.|PRODUCTIVE CAPITAL MANAGEMENT INC|20545 CENTER RIDGE RD|STE 111|ROCKY RIVER OH 44116|USA|||  ||SCANLON, WILLIAM PEYTON|440-356-8996|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/06/1990|0|0|0|0|0|0
Midwest 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|||  ||HEICHEL, WILLIAM DAVID|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
Midwest 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
Midwest 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|2|0|0|0|0
Midwest Regional Office| 106845|801-53258|HAMMOND ASSOCIATES|HAMMOND ASSOCIATES INSTITUTIONAL FUND CONSULTANTS INC|101 S. HANLEY|SUITE 300|ST. LOUIS MO 63105|USA|||  ||ROBERT 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|APPROVED|11/08/1996|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 106871|801-30016|CAULDWELL FINANCIAL GROUP INC|CAULDWELL FINANCIAL GROUP INC|6919 VISTA DR||WEST DES MOINES IA 50266-9313|USA|||  ||WRIGHT, CARRIE J|515-224-4032|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|10/01/1987|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 106905|801-53289|FOSTER & MOTLEY INC|FOSTER & MOTLEY INC|6725 MIAMI AVENUE|SUITE 200|CINCINNATI OH 45243|USA|||  ||W. MARK MOTLEY|513-272-7520|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
Midwest Regional Office| 106923|801-36627|HARTLINE INVESTMENT CORPORATION|HARTLINE INVESTMENT CORPORATION|211 W. WACKER DRIVE|SUITE 1600|CHICAGO IL 60606|USA|||  ||LIPFORD, RALPH JOHN|312-726-4278|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
Midwest 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
Midwest 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
Midwest 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
Midwest 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
Midwest 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
Midwest Regional Office| 106948|801-41470|RICHARD LARKIN & ASSOCIATES LLC|RICHARD LARKIN & ASSOCIATES LLC|1818 WOODDALE DRIVE|STE 201|WOODBURY MN 55125|USA|||  ||LARKIN, RICHARD FRANKLIN|651-731-1478|Limited Liability Company|Pension consulting services, Other|APPROVED|05/11/1992|0|0|0|0|0|0
Midwest Regional Office| 106950|801-51066|DAGCO, INC. DBA CORNERSTONE WEALTH MANAGEMENT|DAGCO, INC. DBA CORNERSTONE WEALTH MANAGEMENT|835 SHARON DRIVE|SUITE 280|WESTLAKE OH 44145-7703|USA|||  ||KAYE E. O'BOYLE|440-899-4000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/01/1996|0|0|0|0|0|0
Midwest Regional Office| 106956|801-33091|FIDUCIARY CONSULTANTS INC|FIDUCIARY CONSULTANTS INC|12444 POWERSCOURT DRIVE|SUITE 200|ST. LOUIS MO 63131|USA|||  ||GODING, BRIAN L.|314-822-4444|Corporation|Pension consulting services, Selection of other advisers|APPROVED|09/01/1988|0|5|0|0|0|0
Midwest 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
Midwest 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|4|1|0|0|0
Midwest 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|Pension consulting services, Selection of other advisers|APPROVED|01/31/1991|0|0|0|0|0|0
Midwest Regional Office| 106974|801-49007|PENNANT MANAGEMENT INC|PENNANT MANAGEMENT INC|11270 WEST PARK PLACE|SUITE 1025|MILWAUKEE WI 53224|USA|||  ||WELGAT, MICHAEL|414-359-1044|Corporation|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
Midwest Regional Office| 106976|801-16412|SEGER ELVEKROG INC|SEGER ELVEKROG INC|33 BLOOMFIELD HILLS PARKWAY|STE 270|BLOOMFIELD HILLS MI 48304|USA|||  ||BEACH, PATRICIA C|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
Midwest 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
Midwest 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
Midwest 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|||  ||SZATKOWSKI, DAVID J.|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
Midwest 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 investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/10/1990|0|0|2|0|0|0
Midwest Regional Office| 107013|801-14652|CENTER FOR RETIREMENT SERVICES|ODONNELL NEIL JOSEPH|6700 BETA DRIVE #110||MAYFIELD VILLAGE OH 44143|USA|||  ||KEVIN O'DONNELL|4403333300|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/28/1979|0|0|6|0|0|0
Midwest 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
Midwest 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
Midwest Regional Office| 107028|801-45963|TOUCHSTONE ADVISORS INC|TOUCHSTONE ADVISORS INC|303 BROADWAY|SUITE 1100|CINCINNATI OH 45202|USA|||  ||WILSON, PATRICIA|513-362-8256|Corporation|Portfolio management for investment companies|APPROVED|02/28/1994|0|1|0|0|0|0
Midwest Regional Office| 107034|801-42639|DIGIOVINE HNILO JORDAN & JOHNSON FINANCIAL ADVISORS LTD|DIGIOVINE HNILO JORDAN & JOHNSON FINANCIAL ADVISORS LTD|387 SHUMAN BOULEVARD|SUITE 170E|NAPERVILLE IL 60563|USA|||  ||MINTA, PAUL ANTHONY|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|0|0|0|0
Midwest 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
Midwest Regional Office| 107045|801-30081|ALBANESE HEMSLEY & TUSSING LTD|ALBANESE HEMSLEY & TUSSING LTD|560 GREEN BAY RD|SUITE 101|WINNETKA IL 60093|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
Midwest Regional Office| 107050|801-53728|DEERFIELD CAPITAL MANAGEMENT LLC|DEERFIELD CAPITAL MANAGEMENT LLC|8700 WEST BRYN MAWR AVE|12TH FL|CHICAGO IL 60631-3512|USA|||  ||FREDERICK L. WHITE|773-380-6377|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/28/1997|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 107066|801-35529|OAK RIDGE INVESTMENTS, LLC|OAK RIDGE INVESTMENTS, LLC|10 SOUTH LASALLE STREET|SUITE 1250|CHICAGO IL 60603|USA|||  ||ALAN E. MOLOTSKY|312-857-1040|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|12/08/1989|0|2|0|0|0|0
Midwest Regional Office| 107072|801-38106|CUSTER MANAGEMENT INC|CUSTER MANAGEMENT INC|14 SOUTH HIGH STREET||NEW ALBANY OH 43054|USA|||  ||MARTHA KASHNER|614-855-9980|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|01/14/1991|0|0|0|0|0|0
Midwest Regional Office| 107075|801-42460|APEX CAPITAL MANAGEMENT,INC.,|APEX CAPITAL MANAGEMENT,INC.,|5335 FAR HILLS AVE., SUITE 314||DAYTON OH 45429|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
Midwest Regional Office| 107078|801-42655|JAMES CAPITAL ALLIANCE INC|JAMES CAPITAL ALLIANCE INC|1349 FAIRGROUND ROAD||BEAVERCREEK OH 45385|USA|P.O. BOX 12||ALPHA OH 45301-0012||PARTRIDGE,SHERRY LYNN|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
Midwest 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
Midwest Regional Office| 107093|801-41538|SMITH & ASSOCIATES INVESTMENT MANAGEMENT SERVICES|SMITH BENJ A & ASSOCIATES LTD|106 EAST 8TH STREET||HOLLAND MI 49423|USA|||  ||REDDER, JILL A.|616-396-0119|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/21/1992|0|0|0|0|0|0
Midwest Regional Office| 107097|801-50636|STEELE CAPITAL MANAGEMENT, INC.|STEELE CAPITAL MANAGEMENT, INC.|788 MAIN ST||DUBUQUE IA 52001|USA|||  ||REEG, 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
Midwest 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
Midwest 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 investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/03/1993|0|0|0|0|0|0
Midwest 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
Midwest 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
Midwest 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
Midwest Regional Office| 107146|801-50832|DEFINED CONTRIBUTION ADVISORS INC|DEFINED CONTRIBUTION ADVISORS INC|33 TENTH AVE SOUTH|STE 375|HOPKINS MN 55343-1317|USA|||  ||TOBEY, LISA|(952) 358-3405|Corporation|Pension consulting services, Other|APPROVED|12/13/1995|0|0|0|0|0|0
Midwest 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
Midwest 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
Midwest Regional Office| 107149|801-40779|INSTITUTIONAL CAPITAL CORP|INSTITUTIONAL CAPITAL CORP|225 W WACKER DR,SUITE 2400||CHICAGO IL 60606|USA|||  ||CONROY, PAMELA H|312-424-9100|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/10/1992|0|0|0|0|0|0
Midwest Regional Office| 107161|801-49120|SUMMIT STRATEGIES GROUP|SUMMIT STRATEGIES INC|7700 BONHOMME AVENUE, STE 300||ST LOUIS MO 63105|USA|||  ||HAYDEN, TIMOTHY A.|314-727-7211|Corporation|Pension consulting services, Selection of other advisers|APPROVED|05/11/1995|0|0|0|0|0|0
Midwest 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|||  ||BOYD, PATRICIA L.|(314)446-6743|Limited Liability Company|Portfolio 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
Midwest 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
Midwest Regional Office| 107178|801-40373|STARFIRE INVESTMENT ADVISERS INC|STARFIRE INVESTMENT ADVISERS INC|3000 TOWN CENTER, SUITE 2235||SOUTHFIELD MI 48075|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
Midwest 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
Midwest Regional Office| 107218|801-47181|GALECKI FINANCIAL MANAGEMENT INC|GALECKI FINANCIAL MANAGEMENT INC|7743 W. 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|APPROVED|08/01/1994|0|0|0|0|0|0
Midwest 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), Pension consulting services|APPROVED|07/03/1995|0|0|0|0|0|0
Midwest Regional Office| 107226|801-38979|KENSINGTON REALTY ADVISORS INC|KENSINGTON REALTY ADVISORS INC|100 N. RIVERSIDE PLAZA|SUITE 2300|CHICAGO IL 60606|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
Midwest Regional Office| 107230|801-22384|CORNERSTONE CAPITAL ADVISORS|MBS FINANCIAL PLANNING SERVICES, INC|1507 BOETTLER ROAD|SUITE G|UNIONTOWN OH 44685|USA|P.O. BOX 769||GREEN OH 44232|USA|FEARIGO, MARK W|330-896-6250|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|11/02/1984|0|0|0|0|0|0
Midwest 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|CURLEY, FRANCIS X|212-837-1275|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/22/1991|0|3|26|0|0|0
Midwest 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|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/20/1992|0|0|0|0|0|0
Midwest 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)|APPROVED|01/22/1993|0|0|0|0|0|0
Midwest Regional Office| 107283|801-39851|LIPPER ADVISORY SERVICES INC|LIPPER ADVISORY SERVICES INC|100 EAST WISCONSIN AVE., STE. 2400||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
Midwest Regional Office| 107284|801-51952|MCNELLIS & BJORK LTD|MCNELLIS & BJORK LTD|8500 NORMANDALE LAKE BOULEVARD|SUITE 2160|BLOOMINGTON MN 55437-1085|USA|||  ||RUTH A PECHACEK|952-548-3111|Corporation|Financial 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|05/28/1996|0|0|0|0|0|0
Midwest 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
Midwest 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|USA|||  ||ALAN ZABLE|312-554-7525|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
Midwest 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|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
Midwest 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|||  ||ROBERT E. STIRLING|(937) 291-1223|Corporation|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|09/09/1993|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 107339|801-41524|FOURTH STREET FINANCIAL ADVISORS INC|FOURTH STREET FINANCIAL ADVISORS INC|2190 VICTORY PARKWAY||CINCINNATI OH 45206|USA|||  ||KENNETH DORGER|513-241-2722|Corporation|Pension consulting services, Selection of other advisers|APPROVED|06/17/1992|0|0|0|0|0|0
Midwest 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
Midwest 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
Midwest 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|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/10/1993|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 107377|801-42259|WILLIAM MACK & ASSOCIATES INC|WILLIAM MACK & ASSOCIATES INC|3310 WEST BIG BEAVER RD STE 138||TROY MI 48084|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
Midwest 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
Midwest 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
Midwest 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
Midwest Regional Office| 107420|801-52123|FRONTEGRA ASSET MANAGEMENT INC|FRONTEGRA ASSET MANAGEMENT INC|400 SKOKIE BLVD, SUITE 500||NORTHBROOK IL 60062|USA|||  ||THOMAS J. HOLMBERG, JR.|847-509-9860|Corporation|Portfolio management for investment companies, Selection of other advisers|APPROVED|06/07/1996|0|0|0|0|0|0
Midwest Regional Office| 107425|801-44188|BERNO FINANCIAL MANAGEMENT INC|BERNO FINANCIAL MANAGEMENT INC|8076 BEECHMONT AVE||CINCINNATI OH 45255-3161|USA|||  ||BRUCE J. BERNO|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
Midwest Regional Office| 107444|801-50190|COURTLAND PARTNERS LTD|COURTLAND PARTNERS LTD|200 PUBLIC SQUARE|SUITE 4060|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
Midwest 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
Midwest Regional Office| 107447|801-42566|E. S. BARR & COMPANY|BARR E S & CO|1999 RICHMOND ROAD|SUITE 1B|LEXINGTON KY 40502|USA|||  ||ANGELA THOMAS|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
Midwest 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
Midwest 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
Midwest 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
Midwest 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|BRADLEY K. ARENDS|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
Midwest 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
Midwest Regional Office| 107513|801-39116|MARTIN CAPITAL MANAGEMENT, LLP|MARTIN CAPITAL MANAGEMENT LLP|300 JUNIOR ACHIEVEMENT DRIVE|STE 301|ELKHART IN 46516|USA|||  ||FRANK K. 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
Midwest Regional Office| 107515|801-52339|O'DONNELL ASSET MANAGEMENT|ODONNELL KEVIN PATRICK|19111 DETROIT ROAD||ROCKY RIVER OH 44116|USA|||  ||KEVIN O'DONNELL|440-333-3300|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/26/1996|0|0|7|0|0|0
Midwest Regional Office| 107517|801-23944|SYM FINANCIAL ADVISORS|SYM FINANCIAL CORP.|100 CAPITAL DRIVE||WARSAW IN 46582|USA|||  ||JERALD W. YEAGER, JD|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)|APPROVED|05/15/1985|0|0|0|0|0|0
Midwest Regional Office| 107526|801-48409|CAPITAL ASSET CARE INC|CAPITAL ASSET CARE INC|1303 CORPORATE CENTER DRIVE||EAGAN MN 55121-1204|USA|||  ||JOHN EDWIN ORNER|651-662-8381|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/16/1995|0|0|0|0|0|0
Midwest Regional Office| 107528|801-51396|OHIO NATIONAL INVESTMENTS INC|OHIO NATIONAL INVESTMENTS INC|ONE FINANCIAL WAY||MONTGOMERY OH 45242|USA|||  ||MARC COLLINS|513-794-6230|Corporation|Portfolio management for investment companies|APPROVED|04/02/1996|0|0|0|0|0|0
Midwest 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|APPROVED|08/06/1992|0|0|0|0|0|0
Midwest Regional Office| 107571|801-42110|AXIA ADVISORY CORP|AXIA ADVISORY CORP|ONE N PENNSYLVANIA ST STE 520||INDIANAPOLIS IN 46204|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|APPROVED|08/11/1992|0|0|0|0|0|0
Midwest Regional Office| 107574|801-39372|ASSET CONSULTING GROUP INC|ASSET CONSULTING GROUP INC|231 SOUTH BEMISTON|14TH FLOOR|ST. LOUIS MO 63105|USA|||  ||JASON CONSTANTINE PULOS|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
Midwest 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
Midwest Regional Office| 107578|801-53966|ALPHA INVESTMENT MANAGEMENT|ALPHA INVESTMENT MANAGEMENT|15 EAST EIGHTH STREET||CINCINNATI OH 45202|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
Midwest Regional Office| 107581|801-53157|PORTFOLIO ANALYTICS INC|PORTFOLIO ANALYTICS INC|26877 NORTHWESTERN HIGHWAY|SUITE 300|SOUTHFIELD MI 48034-8417|USA|||  ||ELIZABETH B. KELLY|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
Midwest Regional Office| 107591|801-39515|PECKENPAUGH ASSET MANAGEMENT INC|PECKENPAUGH ASSET MANAGEMENT INC|429 SO COUNTY LINE ROAD||HINSDALE IL 60521|USA|||  ||ROBERT E. PECKENPAUGH|630-734-9835|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|07/17/1991|0|0|0|0|0|0
Midwest Regional Office| 107593|801-46376|MERIDIAN INVESTMENT ADVISORS, INC.|MERIDIAN INVESTMENT ADVISORS, INC.|111 CONGRESSIONAL BLVD|SUITE 115|CARMEL IN 46032|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)|APPROVED|05/31/1994|0|0|0|0|0|0
Midwest 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
Midwest 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|Portfolio management for businesses or institutional clients (other than investment companies), Financial planning services|APPROVED|10/29/1992|0|0|0|0|0|0
Midwest Regional Office| 107618|801-37668|SPECTRUM FINANCIAL ADVISORS, LLC|SPECTRUM FINANCIAL ADVISORS, LLC|10641 TECHWOODS CIRCLE|STE 104|CINCINNATI OH 45242|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
Midwest Regional Office| 107619|801-46031|PERFORMANCE TRUST INVESTMENT ADVISORS, INC.|PERFORMANCE TRUST INVESTMENT ADVISORS, INC.|500 W. MADISON|SUITE 350|CHICAGO IL 60661|USA|||  ||DAVID WILDING|312-521-1115|Corporation|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
Midwest 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
Midwest 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|||  ||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
Midwest 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|APPROVED|05/05/1993|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 107678|801-28591|WULF BATES & MURPHY INC|WULF BATES & MURPHY INC|10 S BRENTWOOD||ST LOUIS MO 63105|USA|||  ||GREG RANALLETTA|(314) 727-7232|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|1|0|0|0
Midwest Regional Office| 107684|801-32154|PILOT CAPITAL MANAGEMENT CORP|PILOT CAPITAL MANAGEMENT CORP|1350 U.S. TRUST BUILDING|730 2ND AVENUE SOUTH|MINNEAPOLIS MN 55402|USA|||  ||DEAN CUMMINGS|612-752-1804|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
Midwest Regional Office| 107694|801-50225|MEDIQUS ASSET ADVISORS, INC.|MEDIQUS ASSET ADVISORS INC|200 N LASALLE ST|STE 500|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
Midwest Regional Office| 107698|801-47248|WEBSTER PARTNERS|WEBSTER PARTNERS INC|730 2ND AVE SOUTH|1350 US TRUST BUILDING|MINNEAPLOIS MN 55402|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
Midwest 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
Midwest Regional Office| 107708|801-60610|NORTHSTAR FINANCIAL PARTNERS, INC.|NORTHSTAR FINANCIAL PARTNERS, INC.|30078 SCHOENHERR|SUITE 100|WARREN MI 48088|USA|||  ||KENNETH G. CHAPUT|586-563-7600|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
Midwest Regional Office| 107740|801-17857|40/86 ADVISORS, INC.|40/86 ADVISORS, INC.|535 N. COLLEGE DRIVE||CARMEL IN 46032|USA|||  ||SARAH L. BERTRAND|317/817-3741|Corporation|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|10/20/1982|1|0|0|0|0|0
Midwest Regional Office| 107772|801-56603|STRATEGIC CAPITAL INVESTMENT ADVISORS INC|STRATEGIC CAPITAL INVESTMENT ADVISORS INC|1010 JORIE BLVD|STE 110|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
Midwest Regional Office| 107774|801-56681|PORTFOLIO SOLUTIONS LLC|PORTFOLIO SOLUTIONS LLC|201 W. BIG BEAVER RD; STE. 330||TROY MI 48084|USA|||  ||RICHARD FERRI|248-689-1550|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/13/1999|0|0|0|0|0|0
Midwest Regional Office| 107775|801-30535|ALLSTATE INVESTMENT MANAGEMENT COMPANY|ALLSTATE INVESTMENT MANAGEMENT COMPANY|3075 SANDERS ROAD||NORTHBROOK IL 60062|USA|||  ||PAUL A. LYTHBERG|847-402-8484|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|09/11/1987|0|0|0|0|0|0
Midwest 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|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/18/1981|0|0|0|0|0|0
Midwest Regional Office| 107782|801-56317|GS INVESTMENT INC|GS INVESTMENT INC|121 SOUTH 8TH STREET|SUITE 1111|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
Midwest 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)|APPROVED|04/16/1999|0|0|0|0|0|0
Midwest 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|STUART T. MEACHAM|217/ 356-8363|Partnership|Other|APPROVED|09/12/1997|0|0|0|0|0|0
Midwest 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|RONALD L. KIDDOO|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
Midwest 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|||  ||JAMES C. VOKAC|216-771-3450|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|04/13/2000|0|0|0|0|0|0
Midwest Regional Office| 107820|801-44124|SMC CAPITAL INC/KY/|SMC CAPITAL INC/KY/|4350 BROWNSBORO RD|STE 310|LOUISVILLE KY 40207|USA|||  ||FRANK T. KILEY|502/893-4207|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/14/1993|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 107840|801-21759|TALON ASSET MANAGEMENT INC|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
Midwest Regional Office| 107846|801-60926|HAYS INVESTMENT ADVISORS|HAYS INVESTMENT ADVISORS, L.L.C.|3800 W. 80TH STREET|SUITE 750|MINNEAPOLIS MN 55431|USA|||  ||MAREN A. AIPPERSPACH|612-486-4820|Limited Liability Company|Financial planning services, Portfolio management for 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
Midwest 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
Midwest 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
Midwest 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
Midwest 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
Midwest 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
Midwest Regional Office| 107893|801-41991|FINANCIAL SERVICE GROUP INC|FINANCIAL SERVICE GROUP INC|6011 DURAND AVE, SUITE 100||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
Midwest Regional Office| 107902|801-42986|H.P. Becker & Co|H.P. Becker & Co|1901 RAYMOND DR||NORTHBROOK IL 60062-6739|USA|||  ||RITA BERGQUIST|847-272-6465|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
Midwest Regional Office| 107929|801-55031|ASSET ADVISORY GROUP INC|ASSET ADVISORY GROUP INC|4600 MCAULEY PLACE, STE 140||CINCINNATI OH 45242|USA|||  ||JEANNETTE A. 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
Midwest Regional Office| 107930|801-55903|ARGENT CAPITAL MANAGEMENT LLC|ARGENT CAPITAL MANAGEMENT LLC|700 CORPORATE PARK DRIVE|SUITE 320|CLAYTON MO 63105|USA|||  ||AMANDA E. WHITE|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
Midwest 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|616-373-2700|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
Midwest 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
Midwest 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)|APPROVED|08/25/1998|0|0|0|0|0|0
Midwest Regional Office| 107958|801-38750|MURFEY ASSET MANAGEMENT INC|MURFEY ASSET MANAGEMENT INC|4230 STATE RTE 306||WILLOUGHBY OH 44094-9272|USA|||  ||LATHAM W. MURFEY, III|440-946-0335|Corporation|Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|05/24/1991|0|0|0|0|0|0
Midwest Regional Office| 107968|801-56670|YOUNG, SVANOES AND ASSOCIATES|YOUNG SVANOES & ASSOCIATES LLC|4090 WESTOWN PARKWAY|SUITE B2|WEST DES MOINES IA 50266|USA|||  ||BARBARA J. SVANOE|515-244-5141|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/09/1999|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 107976|801-55452|G.A. GUMMER & ASSOC., INC.|G.A. GUMMER & ASSOC., INC.|2586 OAKSTONE DR||COLUMBUS OH 43231-7628|USA|||  ||GEORGE A GUMMER|614-891-4242|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|04/15/1998|0|0|0|0|0|0
Midwest 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)|APPROVED|07/10/1997|0|0|0|0|0|0
Midwest Regional Office| 108003|801-55334|OAKBROOK INVESTMENTS|OAKBROOK INVESTMENT LLC|701 WARRENVILLE ROAD||LISLE IL 60532|USA|||  ||MS. JANNA SAMPSON|630-271-0100|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/27/1998|1|6|0|0|0|0
Midwest Regional Office| 108009|801-55057|VARDE PARTNERS LP|VARDE PARTNERS LP|8500 NORMANDALE LAKE BLVD|SUITE 1570|MINNEAPOLIS MN 55437|USA|||  ||CHRISTINA M FONDELL|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
Midwest Regional Office| 108014|801-57752|NAKOMA CAPITAL MANAGEMENT, LLC|NAKOMA CAPITAL MANAGEMENT, LLC|525 JUNCTION ROAD|SUITE 8600|MADISON WI 53717|USA|||  ||ROBYN K RANNOW|608-662-0298|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/13/2000|0|0|2|0|0|0
Midwest Regional Office| 108018|801-57080|OLIVE OXFORD OFFICE LLC|OLIVE OXFORD OFFICE LLC|11711 NORTH MERIDIAN STREET|SUITE 600|CARMEL IN 46032|USA|||  ||SUSAN E. MITCHELL, CFP|317-805-5089|Limited Liability Company|Financial planning services, Portfolio management for 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|0|0|0|0|0
Midwest 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
Midwest 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, Other|APPROVED|10/18/1999|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 108048|801-57626|INTELLIGENT FINANCIAL STRATEGIES|INTELLIGENT FINANCIAL STRATEGIES|9977 VALLEY VIEW RD, STE 300||EDEN PRAIRIE MN 55344|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
Midwest 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
Midwest 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
Midwest Regional Office| 108074|801-57432|RIVERBRIDGE PARTNERS|RIVERBRIDGE PARTNERS LLC|527 MARQUETTE AVE SO|SUITE 1200|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
Midwest 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, Other|APPROVED|01/19/1999|0|0|0|0|0|0
Midwest Regional Office| 108090|801-54603|PARADIGM FINANCIAL ADVISORS LLC|PARADIGM FINANCIAL ADVISORS LLC|12231 MANCHESTER ROAD||DES PERES MO 63131|USA|||  ||ROBERT J. SPINDEL|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
Midwest Regional Office| 108092|801-55322|DIBENEDETTO & BURTON LTD.|DIBENEDETTO & BURTON 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
Midwest 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
Midwest 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
Midwest Regional Office| 108136|801-55943|SUMMIT INVESTMENT PARTNERS LLC|SUMMIT INVESTMENT PARTNERS LLC|312 ELM STREET, SUITE 2525||CINCINNATI OH 45202|USA|||  ||JOHN F. LABMEIER|(513) 595-2470|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/09/1998|0|0|0|0|0|0
Midwest 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|||  ||KRISTIE LEWIS|312-795-5334|Limited Liability Company|Financial planning 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
Midwest 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
Midwest Regional Office| 108171|801-56926|OPUS CAPITAL MANAGEMENT LLC|OPUS CAPITAL MANAGEMENT LLC|1 WEST 4TH ST|SUITE 415|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)|APPROVED|11/15/1999|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 108205|801-44582|ROSE INVESTMENTS SERVICES|ROSE FINANCIAL INVESTMENTS INC|5144 KEARSDALE ROAD||TOLEDO OH 43623|USA|||  ||WILLIAM ERNEST ROSE|419-882-2589|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|08/19/1993|0|0|0|0|0|0
Midwest 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|312-587-9964|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
Midwest Regional Office| 108211|801-18767|ARIEL CAPITAL MANAGEMENT, LLC|ARIEL CAPITAL MANAGEMENT, 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|0|0|0|0|0
Midwest 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|||  ||JEANHEE HOFFMAN|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
Midwest 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
Midwest Regional Office| 108239|801-57763|FIDUCIARY ADVISORS, INC.|FIDUCIARY ADVISORS, INC.|8860 LADUE RD|SUITE 100|ST. LOUIS MO 63124|USA|||  ||JOHN F. HEFELE|(314)726-5150|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|07/13/2000|0|0|0|0|0|0
Midwest 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|USA|||  ||JENNIFER LAROSE|248-244-7980|Corporation|Financial planning services, Pension consulting services, Selection of other advisers|APPROVED|02/21/2002|0|4|0|0|0|0
Midwest 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 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
Midwest Regional Office| 108257|801-25943|RIVERSOURCE INVESTMENTS, LLC|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), Other|APPROVED|12/20/1985|1|5|0|0|0|0
Midwest Regional Office| 108259|801-54845|RAMSEY QUANTITATIVE SYSTEMS INC|RAMSEY QUANTITATIVE SYSTEMS INC|1515 ORMSBY STATION COURT||LOUISVILLE KY 40223|USA|||  ||PHYLLIS HUBBUCH|502-245-6220|Corporation|Other|APPROVED|09/10/1997|0|0|0|0|0|0
Midwest Regional Office| 108261|801-55552|SIT FREMONT CAPITAL FUNDS LLC|SIT FREMONT CAPITAL FUNDS LLC|3300 IDS CENTER|80 SOUTH EIGHTH STREET|MINNEAPOLIS MN 55402|USA|||  ||PAUL E. RASMUSSEN|612-332-3223|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/22/1998|0|0|0|0|0|0
Midwest 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
Midwest 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
Midwest 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
Midwest Regional Office| 108280|801-56001|REDWOOD INVESTMENT ADVISORS LTD|REDWOOD INVESTMENT ADVISORS LTD|320 NORTH MERIDIAN STREET|SUITE 900|INDIANAPOLIS IN 46204|USA|||  ||TED 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
Midwest 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), Pension consulting services|APPROVED|05/04/1983|0|0|0|0|0|0
Midwest 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
Midwest 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
Midwest 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
Midwest Regional Office| 108348|801-35969|WILLIAM MICHAEL CUNNINGHAM|CUNNINGHAM WILLIAM MICHAEL|3540 HENNEPIN AVE. S.|324|MINNEAPOLIS MN 55408|USA|||  ||WILLIAM CUNNINGHAM|612-822-9605|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
Midwest 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), Publication of periodicals or newsletters|APPROVED|01/31/1986|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 108353|801-29805|WILLIAM HARRIS INVESTORS, INC.|WILLIAM HARRIS INVESTORS, INC.|191 N WACKER DRIVE|SUITE 1500|CHICAGO IL 60606|USA|||  ||GARY NEUMAYER|312-621-0690|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/19/1987|0|0|0|0|0|0
Midwest Regional Office| 108360|801-39437|BLAYLOCK-ABACUS ASSET MANAGEMENT, LLC|BLAYLOCK-ABACUS ASSET MANAGEMENT, LLC|10 SOUTH WACKER DRIVE|SUITE 1835|CHICAGO IL 60606|USA|||  ||CYNTHIA PLOUCHE|(312) 441-9756|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/18/1991|0|1|0|0|0|0
Midwest 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
Midwest Regional Office| 108379|801-55126|NORTHSHORE ADVISORS LLC|NORTHSHORE ADVISORS LLC|7831 GLENROY ROAD|SUITE 210|BLOOMINGTON MN 55439-3133|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), Other|APPROVED|12/18/1997|0|0|0|0|0|0
Midwest Regional Office| 108401|801-57681|S3, INC|S3 INC|3033 EXCELSIOR BLVD|SUITE 460|MINNEAPOLIS MN 55416|USA|||  ||MARK SHERMAN|612-929-7000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|06/28/2000|0|0|0|0|0|0
Midwest Regional Office| 108408|801-38103|UNION HERITAGE CAPITAL MANAGEMENT, LLC|UNION HERITAGE CAPITAL MANAGEMENT, LLC|211 W. FORT STREET|SUITE 615|DETROIT MI 48226|USA|||  ||DEREK T. BATTS|313-963-8824|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/17/1991|0|0|0|0|0|0
Midwest Regional Office| 108417|801-57154|WHITE PINE CAPITAL LLC|WHITE PINE CAPITAL LLC|60 SOUTH 6TH STREET|SUITE 2530|MINNEAPOLIS MN 55402|USA|||  ||MICHAEL SCOTT WALLACE|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
Midwest 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
Midwest 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
Midwest 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
Midwest Regional Office| 108479|801-57179|MARIETTA INVESTMENT PARTNERS, LLC|MARIETTA INVESTMENT PARTNERS, LLC|100 EAST WISCONSIN AVENUE, STE 2650||MILWAUKEE WI 53202|USA|||  ||CHRISTINE M. SMYTH|(414)289-9080|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/20/2000|0|0|0|0|0|0
Midwest Regional Office| 108491|801-57417|JANCO INVESTMENT COUNSEL|KRATZ JANET CONROY|1200 WEST SIERRA LANE||MEQUON WI 53092|USA|||  ||JANET CONROY KRATZ|262-241-1343|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|03/29/2000|0|0|0|0|0|0
Midwest 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|RALPH WALDO WEBSTER, III|314-889-1035|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
Midwest 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
Midwest 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
Midwest 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
Midwest Regional Office| 108565|801-55703|JPMORGAN ASSET MANAGEMENT|JPMORGAN HIGH YIELD PARTNERS LLC|1111 POLARIS PARKWAY|SUITE 2D|COLUMBUS OH 43240|USA|8044 MONTGOMERY RD|SUITE 555|CINCINNATI OH 45236|USA|FRANCIS X. CURLEY|212-837-1275|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/09/1998|0|4|9|0|0|0
Midwest Regional Office| 108566|801-56700|GROWTH FUND ADVISOR, INC.|GROWTH FUND ADVISOR, INC.|711 WEST THIRTEEN MILE ROAD||MADISON HEIGHTS MI 48071|USA|||  ||CALVIN A. GEORGE|248 583-6242 X387|Corporation|Portfolio management for investment companies|APPROVED|08/23/1999|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 108579|801-55550|TIAA-CREF TRUST COMPANY, FSB|TIAA-CREF TRUST COMPANY, FSB|211 NORTH BROADWAY|SUITE 1000|ST LOUIS MO 63102-2733|USA|||  ||ARTI JURAKHAN|212-916-4724|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/13/1998|0|0|0|0|0|0
Midwest Regional Office| 108611|801-55374|WILLIAM BLAIR CAPITAL PARTNERS VI LLC|WILLIAM BLAIR CAPITAL PARTNERS VI LLC|222 W 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|04/09/1998|0|1|0|0|0|0
Midwest 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
Midwest 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
Midwest Regional Office| 108644|801-54163|ROCKWOOD CAPITAL ADVISORS LLC|ROCKWOOD CAPITAL ADVISORS LLC|1401 S BRENTWOOD BLVD, SUITE 400||ST. LOUIS MO 63144|USA|||  ||NANCY M. INNES|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
Midwest Regional Office| 108645|801-55743|FRANKLIN-LAKE CAPITAL ADVISORS, LLC|FRANKLIN-LAKE CAPITAL ADVISORS, LLC|227 W. MONROE STREET, SUITE 4350||CHICAGO IL 60606|USA|||  ||JAMES F. WHITNEY|(312) 345-6801|Limited Liability Company|Selection of other advisers, Other|APPROVED|07/29/1998|0|0|0|0|0|0
Midwest 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|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/08/1999|0|0|0|0|0|0
Midwest 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
Midwest 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|||  ||HOPE FLACK|312-506-6611|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
Midwest 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
Midwest Regional Office| 108668|801-54906|GRESHAM PARTNERS, LLC|GRESHAM PARTNERS, LLC|123 N. WACKER DRIVE|SUITE 1500|CHICAGO IL 60606|USA|||  ||BEN BEAVERS|312-960-0211|Limited Liability Company|Financial planning services, Selection of other advisers, Other|APPROVED|09/25/1997|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 108670|801-55615|ZEMENICK & WALKER INC|ZEMENICK & WALKER INC|100 S BRENTWOOD BLVD, SUITE 450||ST LOUIS MO 63105|USA|||  ||JOHN M. JOHNSON|314 862-5525|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/03/1998|0|0|0|0|0|0
Midwest Regional Office| 108712|801-56387|ASSET MANAGEMENT FOR PROFESSIONALS INC.|ASSET MANAGEMENT FOR PROFESSIONALS INC|9639 NORTH COLUMBIA CREEK||MEQUON WI 53092|USA|||  ||DR. JEROME A. MAHALICK|(262)240-1041|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
Midwest 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
Midwest 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|3|0|0|0|0
Midwest 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
Midwest 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|APPROVED|04/07/2005|0|0|0|0|0|0
Midwest Regional Office| 108792|801-55869|PACHOLDER & CO LLC|PACHOLDER & CO LLC|8044 MONTGOMERY ROAD|SUITE 555|CINCINNATI OH 45236|USA|||  ||DAVID A. GROSHOFF|(513) 985-3200|Limited Liability Company|Portfolio management for investment companies|APPROVED|09/24/1998|0|5|7|0|0|0
Midwest Regional Office| 108830|801-56414|VAWTER FINANCIAL LTD|VAWTER FINANCIAL LTD|1161 BETHEL ROAD|SUITE 304|COLUMBUS OH 43220|USA|||  ||CHRISTINA DELOREAN|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
Midwest Regional Office| 108844|801-57559|TREE CITY INVESTMENTS, INC.|TREE CITY INVESTMENTS, INC.|950 NORTH WESTERN AVE||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|05/08/2000|0|0|0|0|0|0
Midwest Regional Office| 108845|801-58011|FINANCIAL SECURITY INVESTMENT ADVISORS, INC.|FINANCIAL SECURITY INVESTMENT ADVISORS, INC.|211 A NW EXECUTIVE WAY||LEE'S SUMMIT MO 64063|USA|||  ||RISDAN KASPER|816-554-3736|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|10/02/2000|0|0|0|0|0|0
Midwest 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
Midwest 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
Midwest Regional Office| 108873|801-26616|FRANKE FINANCIAL SERVICES, INC.|FRANKE FINANCIAL SERVICES, INC.|1851 LAKE DRIVE WEST|SUITE 450|CHANHASSEN MN 55317|USA|||  ||WILLIAM A. FRANKE|952-448-9423|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|03/28/1986|0|0|0|0|0|0
Midwest 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), Other|APPROVED|03/13/1985|0|0|0|0|0|0
Midwest 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
Midwest 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), Pension consulting services|APPROVED|11/21/1997|0|0|0|0|0|0
Midwest 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: DOROTHY STANIEC|WHIPPANY NJ 07981|U.S.A.|DOROTHY STANIEC|973-793-2255|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
Midwest Regional Office| 108931|801-56927|MCCARTHY GRITTINGER FINANCIAL GROUP, LLC|MCCARTHY GRITTINGER 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
Midwest Regional Office| 108935|801-56226|CJ CAPITAL MANAGEMENT LLC|CJ CAPITAL MANAGEMENT LLC|231 SOUTH BEMISTON|SUITE 750|ST LOUIS MO 63105|USA|||  ||CHARLES DENNIS KEMPER|314-863-0755|Limited Liability Company|Financial planning services, Portfolio management 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
Midwest Regional Office| 108938|801-56758|NORTHWEST BANK & TRUST COMPANY|NORTHWEST BANK & TRUST COMPANY|100 EAST KIMBERLY ROAD||DAVENPORT IA 52806|USA|||  ||KATHY BEGYN|563-388-2615|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|08/13/1999|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 108954|801-57995|SEIZERT CAPITAL PARTNERS, LLC|SEIZERT CAPITAL PARTNERS, LLC|185 WEST 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 businesses or institutional clients (other than investment companies)|APPROVED|09/11/2000|0|0|0|0|0|0
Midwest Regional Office| 108964|801-54788|KAYDAN 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|APPROVED|09/09/1997|0|0|0|0|0|0
Midwest Regional Office| 108965|801-57277|MONEY MINDS|MONEY MINDS LTD PARTNERSHIP|351 W HUBBARD STREET|SUITE 300|CHICAGO IL 60610|USA|||  ||KEVIN S. SEIBERT|312-923-7450|Partnership|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/28/2000|0|0|0|0|0|0
Midwest Regional Office| 108966|801-54911|WILMOCO CAPITAL MANAGEMENT LLC|WILMOCO CAPITAL MANAGEMENT LLC|300 RIVER PLACE|SUITE 5350|DETROIT MI 48207|USA|||  ||CARL B. SMALLS|313-259-1130|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/02/1997|0|0|0|0|0|0
Midwest 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), Selection of other advisers|APPROVED|10/17/1997|0|0|0|0|0|0
Midwest Regional Office| 108977|801-55745|MIG REALTY ADVISORS|MIG II REALTY ADVISORS INC|5025 SWETLAND CT||CLEVELAND 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
Midwest 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 businesses or institutional clients (other than investment companies)|APPROVED|11/23/1998|0|4|1|0|0|0
Midwest Regional Office| 108993|801-57549|ACUMEN FINANCIAL GROUP INC|ACUMEN FINANCIAL GROUP INC|8500 NORMANDALE LAKE BLVD|SUITE 510|BLOOMINGTON MN 55437|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
Midwest Regional Office| 109002|801-55959|PRINCIPAL GLOBAL INVESTORS, LLC|PRINCIPAL GLOBAL INVESTORS, LLC|801 GRAND AVE||DES MOINES IA 50392|USA|||  ||BARBARA MCKENZIE|515-362-2800|Limited Liability Company|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
Midwest 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, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/15/1999|0|0|0|0|0|0
Midwest Regional Office| 109008|801-55618|PRINCIPAL REAL ESTATE INVESTORS LLC|PRINCIPAL REAL ESTATE INVESTORS LLC|801 GRAND AVE||DES MOINES IA 50392|USA|||  ||BARBARA MCKENZIE|515-362-2800|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/04/1999|0|0|0|0|0|0
Midwest 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), Pension consulting services, Publication of periodicals or newsletters|APPROVED|02/25/2000|0|0|0|0|0|0
Midwest Regional Office| 109032|801-60153|CREATIVE FINANCIAL DESIGNS, INC.|CREATIVE FINANCIAL DESIGNS, INC.|608 EAST BOULEVARD||KOKOMO IN 46902|USA|P.O. BOX # 2244||KOKOMO IN 46904-2244|USA|JUSTIN KEELING|765.453.9600 #126|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|2|0|0|0|0
Midwest 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
Midwest 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), Other|APPROVED|02/09/2001|0|1|0|0|0|0
Midwest 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
Midwest 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
Midwest Regional Office| 109086|801-57498|ABN AMRO ASSET MANAGEMENT, INC.|ABN AMRO ASSET MANAGEMENT, INC.|161 NORTH CLARK STREET, 9TH FLOOR||CHICAGO IL 60601-2468|USA|||  ||ELWOOD WEILAGE|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, Other|APPROVED|05/01/2000|0|1|0|0|0|0
Midwest 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
Midwest 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), Selection of other advisers|APPROVED|04/08/1998|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 109131|801-56002|COMPASS FINANCIAL ADVISORS LLC|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
Midwest 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
Midwest Regional Office| 109140|801-57467|MCMAHAN CAPITAL MANAGEMENT LLC|MCMAHAN CAPITAL MANAGEMENT LLC|10401 NORTH MERIDIAN STREET|SUITE 218|INDIANAPOLIS IN 46290|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
Midwest 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), Pension consulting services, Selection of other advisers, Other|APPROVED|02/25/2000|0|0|0|0|0|0
Midwest 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|859-344-4000|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)|APPROVED|03/09/1999|0|0|0|0|0|0
Midwest 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
Midwest 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|Selection of other advisers|APPROVED|09/01/1999|0|0|0|0|0|0
Midwest Regional Office| 109178|801-57970|ADVANCED ASSET MANAGEMENT L.L.C.|ADVANCED ASSET MANAGEMENT L.L.C.|4433 BYRON CENTER AVE SW||WYOMING MI 49519|USA|||  ||RONALD VANSURKSUM|616-531-5220|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|09/15/2000|0|0|0|0|0|0
Midwest Regional Office| 109181|801-57613|FOCUS CAPITAL MANAGEMENT LLC|FOCUS CAPITAL MANAGEMENT LLC|100 S. BRENTWOOD BLVD. STE 410||CLAYTON MO 63105|USA|||  ||GUS CATSAVIS|314-725-0989|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|06/14/2000|0|0|0|0|0|0
Midwest Regional Office| 109191|801-55531|HUFFORD FINANCIAL ADVISORS, LLC|HUFFORD FINANCIAL ADVISORS, LLC|8888 KEYSTONE CROSSING|SUITE 1111|INDIANAPOLIS IN 46240|USA|||  ||BRIAN C. HUFFORD|(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, Publication of periodicals or newsletters|APPROVED|06/16/1998|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 109205|801-56883|RESERVE CIRCLE ADVISORS|GALLA & ASSOCIATES, INC.|36428 NORTH RESERVE CIRCLE||AVON OH 44011|USA|||  ||GREGORY GALLA|440-934-6729|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|09/29/1999|0|0|0|0|0|0
Midwest 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
Midwest 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|||  ||DAVID G. STREGE|(515) 225-6000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|10/01/1997|0|0|0|0|0|0
Midwest Regional Office| 109241|801-56650|MICHAEL JOSEPH PETER|MICHAEL JOSEPH PETER|3800 N. WOODWARD, SUITE 206||DETROIT MI 48201|USA|||  ||JOE MICHAEL|313-831-2220|Sole Proprietorship|Other|APPROVED|08/12/1999|0|0|0|0|0|0
Midwest 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
Midwest 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
Midwest Regional Office| 109269|801-57958|RESULTS ONE FINANCIAL, LLC.|RESULTS ONE FINANCIAL, LLC|945 OAKLAWN AVENUE||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
Midwest Regional Office| 109272|801-58121|CAPRI/CAPITAL ADVISORS LLC|CAPRI CAPITAL ADVISORS 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
Midwest 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
Midwest Regional Office| 109307|801-19395|LASALLE INVESTMENT MANAGEMENT INC.|LASALLE INVESTMENT MANAGEMENT, INC.|200 EAST RANDOLPH DRIVE||CHICAGO IL 60601-6435|USA|||  ||KIMBALL C. WOORDROW|312-782-5800|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|07/28/1983|0|0|0|0|0|0
Midwest Regional Office| 109308|801-56003|DIRECTORS FINANCIAL GROUP LTD|DIRECTORS FINANCIAL GROUP LTD|220 SAVANNA CT.||LAKE FOREST IL 60045|USA|||  ||BRENDA STANISAUSKIS|847-295-5033|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/01/1998|0|0|0|0|0|0
Midwest Regional Office| 109314|801-54487|ASSET PERFORMANCE PARTNERS LLC|ASSET PERFORMANCE PARTNERS LLC|441 VINE STREET|SUITE 4500|CINCINNATI OH 45202|USA|||  ||T. NEIL HEPPLER|513-768-4300|Limited Liability Company|Pension consulting services, Selection of other advisers, Other|APPROVED|05/23/1997|0|0|0|0|0|0
Midwest Regional Office| 109321|801-57523|MANAGERLINK.COM LLC|MANAGERLINK.COM LLC|820 W. SUPERIOR AVE|7TH FLOOR|CLEVELAND OH 44113|USA|||  ||ROBERT A. FERRERI|216-685-4025|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/10/2000|0|1|0|0|0|0
Midwest Regional Office| 109325|801-57400|MCQUEEN FINANCIAL ADVISORS|MCQUEEN FINANCIAL ADVISORS|38505 WOODWARD AVE|SUITE 1500|BLOOMFIELD HILLS MI 48304|USA|||  ||CHARLES MCQUEEN|248-540-5900|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/27/2000|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 109341|801-56979|CAPSTONE FINANCIAL ADVISORS INC|CAPSTONE FINANCIAL ADVISORS INC|2001 BUTTERFIELD ROAD, STE 130||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
Midwest Regional Office| 109358|801-58169|ADAMS STREET PARTNERS, LLC|ADAMS STREET PARTNERS, LLC|ONE NORTH WACKER DRIVE, SUITE 2200||CHICAGO IL 60606-2807|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
Midwest Regional Office| 109366|801-58156|WEALTH ADVISORS OF CINCINNATI, LLC|WEALTH ADVISORS OF CINCINNATI, LLC|250 GRANDVIEW DRIVE, SUITE 175||FT. MITCHELL KY 41017|USA|||  ||MICHAEL SIMON|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
Midwest Regional Office| 109378|801-56843|MICHAEL GERARD BUCK|MICHAEL GERARD BUCK|5719 WEST HIGHWAY 22||CRESTWOOD KY 40014|USA|||  ||SCOTT WELLS|502-241-1030|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|09/17/1999|0|0|0|0|0|0
Midwest Regional Office| 109383|801-57064|NORTHPOINTE CAPITAL LLC|NORTHPOINTE CAPITAL LLC|101 WEST BIG BEAVER ROAD|SUITE 745|TROY MI 48084|USA|||  ||ERIC E. MILLER|484-530-1300|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)|APPROVED|12/02/1999|0|1|0|0|0|0
Midwest 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
Midwest 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
Midwest 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)|APPROVED|02/23/2000|0|0|0|0|0|0
Midwest Regional Office| 109427|801-56565|TREES INVESTMENT COUNSEL LLC|TREES INVESTMENT COUNSEL LLC|70 W. MADISON STREET|SUITE 640|CHICAGO IL 60602|USA|||  ||M. JAY TREES|312-368-8150|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
Midwest 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
Midwest Regional Office| 109433|801-56656|UNION FEDERAL BANK OF INDIANAPOLIS|UNION FEDERAL BANK OF INDIANAPOLIS|45 N PENNSYLVANIA ST||INDIANAPOLIS IN 46204|USA|||  ||DOUG H STROTT|(317) 269-4852|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|08/13/1999|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 109443|801-56270|NORTHERN TRUST BANK FSB|NORTHERN TRUST BANK FSB|50 SOUTH LASALLE STREET||CHICAGO IL 60603|UNITED STATES|||  ||DAVID K. MCHUGH|312-444-3732|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|03/05/1999|0|0|1|0|0|0
Midwest 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
Midwest 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
Midwest 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
Midwest 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
Midwest Regional Office| 109474|801-56631|FORESTER CAPITAL MANAGEMENT LTD|FORESTER CAPITAL MANAGEMENT LTD|612 PADDOCK LN||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), Publication of periodicals or newsletters|APPROVED|06/28/1999|0|0|0|0|0|0
Midwest Regional Office| 109478|801-54335|FINANCIAL STOCKS INC|FINANCIAL STOCKS INC|507 CAREW TOWER|441 VINE ST|CINCINNATI OH 45202|USA|||  ||CHARLES F. CROOG|513-241-6166|Corporation|Other|APPROVED|04/22/1997|0|0|0|0|0|0
Midwest Regional Office| 109481|801-56466|AMERUS CAPITAL MANAGEMENT GROUP, INC.|AMERUS CAPITAL MANAGEMENT GROUP, 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
Midwest Regional Office| 109487|801-57383|COUNTRY TRUST BANK|COUNTRY TRUST BANK|1705 N. TOWANDA AVENUE||BLOOMINGTON IL 61701-2020|USA|ADMINISTRATIVE SERVICES BLDG|1711 GE ROAD|BLOOMINGTON IL 61704|USA|BARBARA MOSSON|309-821-6602|Corporation|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|05/01/2000|0|0|0|0|0|0
Midwest Regional Office| 109488|801-57105|BLUE ROCK ADVISORS INC|BLUE ROCK ADVISORS INC|80 SOUTH EIGHTH STREET|SUITE 3915|MINNEAPOLIS MN 55402|USA|||  ||ROBERT W. FULLERTON|(612)337-8000|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
Midwest 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, Pension consulting services, Publication of periodicals or newsletters|APPROVED|09/22/2000|0|0|0|0|0|0
Midwest Regional Office| 109507|801-57152|STERLING PRIVATE INVESTMENTS INC|STERLING PRIVATE INVESTMENTS INC|3550 LANDER RD STE 200||PEPPER PIKE OH 44124|USA|||  ||TROMBA, JOSEPH M.|216-910-0517|Corporation|Other|APPROVED|01/25/2000|0|0|0|0|0|0
Midwest 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, Selection of other advisers|APPROVED|10/15/1999|0|0|0|0|0|0
Midwest 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
Midwest 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, 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
Midwest 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|SHANNON PETERSON|866-444-6246|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|11/14/2000|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 109572|801-29691|KILLIAN ASSET MANAGEMENT CORP|KILLIAN ASSET MANAGEMENT L.L.C.|1250 W NORTHWEST HWY|STE 600|PALATINE IL 60067|USA|||  ||JEREMIAH LYNCH|847-359-8585|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|06/04/1987|0|0|0|0|0|0
Midwest 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), Other|APPROVED|11/27/2000|0|0|0|0|0|0
Midwest Regional Office| 109581|801-57283|ASSET MANAGEMENT GROUP LTD|ASSET MANAGEMENT CORP|3100 DUNDEE RD|SUITE 101|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
Midwest 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 investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/04/1999|0|0|0|0|0|0
Midwest 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|APPROVED|07/07/1999|0|1|0|0|0|0
Midwest Regional Office| 109596|801-55209|RREEF AMERICA|RREEF AMERICA LLC|875 N. MICHIGAN AVENUE|41ST FLOOR|CHICAGO IL 60611|USA|||  ||SUSAN MCCLINTOCK|312-278-6470|Limited Liability Company|Portfolio 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|1|0|0|0|0
Midwest 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
Midwest Regional Office| 109599|801-65076|CENTER FOR FINANCIAL PLANNING INC|CENTER FOR FINANCIAL PLANNING INC|40 OAK HOLLOW ST|SUITE 125|SOUTHFIELD MI 48034-7470|USA|||  ||DANIEL H. BOYCE|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
Midwest Regional Office| 109609|801-57737|BAIRD VENTURE PARTNERS MANAGEMENT CO I LLC|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
Midwest Regional Office| 109610|801-57473|ULLAND INVESTMENT ADVISORS|ULLAND INVESTMENT ADVISORS INC|3420 IDS CTR|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
Midwest 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|Pension consulting services|APPROVED|09/29/2000|0|0|0|0|0|0
Midwest Regional Office| 109631|801-56402|THRIVENT FINANCIAL BANK|THRIVENT FINANCIAL BANK|2000 E MILESTONE DRIVE||APPLETON WI 54913|USA|P.O. BOX 2817||APPLETON WI 54912-2817|USA|RICHARD ROBERT JODARSKI|877-225-8345|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/08/1999|0|2|0|0|0|0
Midwest 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
Midwest Regional Office| 109644|801-57986|STEIN ROE INVESTMENT COUNSEL, INC.|STEIN ROE INVESTMENT COUNSEL, INC.|ONE SOUTH WACKER DRIVE|SUITE 3500|CHICAGO IL 60606|USA|||  ||GREGORY B. CAMPBELL|312-368-7773|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
Midwest 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
Midwest 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
Midwest 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
Midwest 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
Midwest 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|1|0|0|0|0
Midwest Regional Office| 109729|801-60052|NORTHWESTERN MUTUAL WEALTH MANAGEMENT COMPANY|NORTHWESTERN MUTUAL WEALTH MANAGEMENT COMPANY|611 E. WISCONSIN AVENUE|SUITE 100|MILWAUKEE WI 53202|USA|||  ||MICHAEL P. DOBERSTEIN|414-665-5902|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|03/30/2001|0|26|0|0|0|0
Midwest 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|812-332-5259|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
Midwest Regional Office| 109778|801-29108|LAFLEUR & GODFREY, INC. INVESTMENT COUNSEL|LAFLEUR & GODFREY, INC.|2900 CHARLEVOIX DRIVE, SE|SUITE 302|GRAND RAPIDS MI 49546|USA|||  ||JAMES M. LAFLEUR|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
Midwest Regional Office| 109784|801-54428|ARTHUR ZASKE & ASSOCIATES|INSIGHT 2811 INC|2301 W. BIG BEAVER ROAD|SUITE 620|TROY MI 48084|USA|||  ||ARTHUR E. ZASKE|(248) 833-3000|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
Midwest Regional Office| 109788|801-58243|CONTINENTAL ADVISORS LLC|CONTINENTAL ADVISORS LLC|ONE NORTH WACKER DRIVE, STE.4140||CHICAGO IL 60606|USA|||  ||TRACEY P. BALDERSON|(312)377-3777|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|12/29/2000|0|0|0|0|0|0
Midwest Regional Office| 109792|801-20667|ROBERTS, GLORE & CO.|ROBERTS, GLORE & CO.|150 SOUTH WACKER|SUITE 250|CHICAGO IL 60606|USA|||  ||DANIEL J. SCHLESSER|630-600-0315|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|0|0|0|0|0
Midwest Regional Office| 109793|801-57793|RON STENGER, L.L.C.|RON STENGER, L.L.C.|5051 S. NATIONAL AVE.||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
Midwest Regional Office| 109802|801-9118|M&I INVESTMENT MANAGEMENT CORP.|M&I INVESTMENT MANAGEMENT CORP.|111 EAST KILBOURN AVENUE||MILWAUKEE WI 53202|USA|||  ||JEFF O. HIMSTREET|414-287-7016|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|08/29/1977|0|1|0|0|0|0
Midwest Regional Office| 109803|801-8167|CONTINENTAL ASSURANCE COMPANY|CONTINENTAL ASSURANCE COMPANY|CNA CENTER, 23RD FL||CHICAGO IL 60685|USA|||  ||LYNNE GUGENHEIM|312-822-4921|Corporation|Portfolio management for investment companies|APPROVED|12/14/1971|0|0|0|0|0|0
Midwest Regional Office| 109807|801-58104|MCCORMACK ADVISORS INTERNATIONAL LLC|MCCORMACK ADVISORS INTERNATIONAL LLC|IMG CENTER|1360 EAST 9TH ST, STE 100|CLEVELAND OH 44114-1782|USA|||  ||KIM NOVAK|216 436-3245|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|10/02/2000|0|176|2|0|0|0
Midwest 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|DREW A. AHRENS|(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
Midwest Regional Office| 109816|801-58120|THE MOSAIC FINANCIAL GROUP, LLC|THE MOSAIC FINANCIAL GROUP, LLC|1 EAST ERIE, SUITE 630||CHICAGO IL 60611|USA|||  ||JANE-ELLEN MARIE WOLAK|312-255-5490|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
Midwest Regional Office| 109818|801-58210|CCM ADVISORS, LLC|CCM ADVISORS, LLC|190 S. LASALLE ST., SUITE 2800||CHICAGO IL 60603|USA|||  ||SAVITRI P. PAI|312-444-6209|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|12/13/2000|0|0|0|0|0|0
Midwest Regional Office| 109834|801-46040|HIGHLAND CONSULTING ASSOCIATES INC.|HIGHLAND CONSULTING ASSOCIATES INC.|25651 DETROIT ROAD, SUITE 200||CLEVELAND OH 44145-2415|USA|||  ||KEVIN J. MAHON|440-899-1121|Corporation|Financial planning services, Portfolio management 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|03/18/1994|0|0|0|0|0|0
Midwest 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
Midwest 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
Midwest 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|Other|APPROVED|02/28/2001|0|0|0|0|0|0
Midwest 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|||  ||JOHN L. SCHAEFER|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
Midwest 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 M. ROHRER|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
Midwest 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
Midwest Regional Office| 109890|801-18388|MIDWEST INVESTMENT ADVISORS, INC.|MIDWEST INVESTMENT ADVISORS, INC.|7241 OHMS LANE|SUITE 170|EDINA MN 55439|USA|||  ||RICKEY L. ITES|952-926-1659|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|02/10/1983|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 109903|801-41187|WALNUT STREET ADVISERS INC|WALNUT STREET ADVISERS INC|13045 TESSON FERRY ROAD||SAINT LOUIS MO 63128|USA|||  ||JENNIFER BECCIA|212-578-0284|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|04/22/1992|0|11|3|0|0|0
Midwest 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
Midwest 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
Midwest Regional Office| 109918|801-47689|LSV ASSET MANAGEMENT|LSV ASSET MANAGEMENT|1 NORTH WACKER DRIVE|SUITE 4000|CHICAGO IL 60606|USA|||  ||TREMAINE ATKINSON|312-460-2443|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
Midwest 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
Midwest 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
Midwest Regional Office| 109936|801-57884|AMERICAN EXPRESS BANK, FSB|AMERICAN EXPRESS BANK, FSB|1581 AMERIPRISE FINANCIAL CENTER||MINNEAPOLIS MN 55474|USA|||  ||DAVID GUSTAFSON|612-671-0751|Other (specify)|Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|11/22/2000|0|2|0|0|0|0
Midwest 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
Midwest Regional Office| 109973|801-57329|MURPHY ASSET MANAGEMENT LLC|MURPHY 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
Midwest Regional Office| 109993|801-60988|OARSMAN CAPITAL, INC|OARSMAN CAPITAL, INC|759 NORTH MILWAUKEE STREET||MILWAUKEE WI 53202|USA|||  ||ROBERT W. PHELPS|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
Midwest Regional Office| 109998|801-57632|TOWERHILL WEALTH MANAGEMENT, LLC|TOWERHILL WEALTH MANAGEMENT, LLC|10 SOUTH LYLE AVE.||ST. LOUIS MO 63105|USA|||  ||R.D.TODD BAUR|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
Midwest 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
Midwest 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
Midwest 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|APPROVED|04/16/1999|0|0|0|0|0|0
Midwest Regional Office| 110033|801-58231|CHICAGO ASSET MANAGEMENT COMPANY|CHICAGO ASSET MANAGEMENT COMPANY|70 WEST MADISON ST|SUITE 400|CHICAGO IL 60602|USA|||  ||LESLIE MAKOVIC|312-372-2800|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|12/18/2000|0|0|0|0|0|0
Midwest 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|APPROVED|11/06/1997|0|0|0|0|0|0
Midwest 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
Midwest 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
Midwest 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|APPROVED|05/22/1985|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 110053|801-58192|YORKTOWN INVESTMENT LLC|YORKTOWN INVESTMENT LLC|1401 S. BRENTWOOD BLVD SUITE 385||ST.LOUIS MO 63144|USA|||  ||JAY HEGEMAN|314-918-0044|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|12/08/2000|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 110060|801-57359|SEASONGOOD ASSET MANAGEMENT LLC|SEASONGOOD ASSET MANAGEMENT LLC|414 WALNUT ST||CINCINNATI OH 45202|USA|||  ||SUSAN F. FLISCHEL|513-621-1516|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/03/2000|0|2|0|0|0|0
Midwest Regional Office| 110068|801-14613|MONEY MANAGERS INC|MONEY MANAGERS INC|7600 PARKLAWN AVE|SUITE 376|EDINA MN 55435-5129|USA|||  ||MICHAEL G. HOFKIN|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
Midwest 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
Midwest 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
Midwest 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|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|08/17/1999|0|0|0|0|0|0
Midwest Regional Office| 110112|801-50616|SUMMIT FINANCIAL STRATEGIES INC|SUMMIT FINANCIAL STRATEGIES INC|110 NORTHWOODS BLVD, 2ND FLOOR||COLUMBUS OH 43235|USA|||  ||TED K. SANEHOLTZ|614-885-1115|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|11/15/1995|0|0|0|0|0|0
Midwest Regional Office| 110118|801-58213|PROVIDENT TRUST COMPANY|PROVIDENT TRUST COMPANY|N27 W23957 PAUL ROAD STE. 204||PEWAUKEE WI 53072|USA|||  ||MAX E. GREFIG|262-523-7565|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/15/2000|0|0|0|0|0|0
Midwest Regional Office| 110153|801-57534|IRONBRIDGE CAPITAL MANAGEMENT, LLC|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
Midwest 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
Midwest Regional Office| 110162|801-31531|HEWITT ASSOCIATES LLC|HEWITT ASSOCIATES LLC|100 HALF DAY ROAD||LINCOLNSHIRE IL 60069|USA|||  ||PETER E. ROSS|847-295-5000|Limited Liability Company|Financial planning services, Pension consulting services, Selection of other advisers|APPROVED|02/25/1988|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 110180|801-57459|EXECUTIVE FINANCIAL SERVICES INC|EXECUTIVE FINANCIAL SERVICES INC|33133 SCHOOLCRAFT RD||LIVONIA MI 48150|USA|||  ||RICHARD P. NEWTON|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
Midwest 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|0|0|0|0
Midwest 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 investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Market timing services|APPROVED|02/13/1987|0|1|0|0|0|0
Midwest 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, Selection of other advisers|APPROVED|04/30/1998|0|0|0|0|0|0
Midwest 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
Midwest 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
Midwest Regional Office| 110239|801-60533|FBD ADVISORY SERVICES LLC|FBD ADVISORY SERVICES LLC|7760 FRANCE AVENUE SOUTH|SUITE 1080|BLOOMINGTON MN 55435|USA|||  ||KEVIN R. MILLER|(952)896-2020|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Other|APPROVED|08/31/2001|0|0|0|0|0|0
Midwest 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
Midwest 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
Midwest 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|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/19/1964|0|0|0|0|0|0
Midwest 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
Midwest 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), Selection of other advisers|APPROVED|06/15/1987|0|1|0|0|0|0
Midwest 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
Midwest Regional Office| 110289|801-44147|GUSTAFSON BAXTER FINANCIAL SERVICES INC|GUSTAFSON, BAXTER FINANCIAL SERVICES, INC.|3934 NORTH HAMPTON DRIVE||POWELL OH 43065|USA|||  ||KIM W GUSTAFSON|(614) 413-0070|Corporation|Financial planning services, Market timing services, Other|APPROVED|06/29/1993|0|0|0|0|0|0
Midwest Regional Office| 110297|801-52751|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
Midwest Regional Office| 110302|801-23526|JMG FINANCIAL GROUP LTD|JMG FINANCIAL GROUP LTD|2301 W. 22ND STREET SUITE 300||OAK BROOK IL 60523-1224|USA|||  ||DONALD T. KING|630-571-5252|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|02/13/1985|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 110309|801-49640|MADDEN FUNDS MANAGEMENT|MADDEN FUNDS MANAGEMENT LTD.|1010 LAKE STREET SUITE 604||OAK PARK IL 60301|USA|||  ||MICHAEL MADDEN|7088483200|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|08/14/1995|0|0|0|0|0|0
Midwest Regional Office| 110317|801-57093|SUCCESSFUL RESOURCE MANAGEMENT, LTD.|SUCCESSFUL RESOURCE MANAGEMENT, LTD.|1051 OFFICE PARK RD, SUITE 200||WEST DES MOINES IA 50265|USA|||  ||TERRY 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
Midwest Regional Office| 110320|801-56322|HARRINGTON WEALTH MANAGEMENT CO|HARRINGTON WEALTH MANAGEMENT CO|10150 LANTERN ROAD SUITE 150||FISHERS IN 46037|USA|||  ||RICHARD HARRISON|(317) 806-7806|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|03/10/1999|0|0|0|0|0|0
Midwest Regional Office| 110348|801-18880|ACQUEST REALTY ADVISORS, INC.|ACQUEST REALTY ADVISORS INC|40701 WOODWARD AVENUE|SUITE 100|BLOOMFIELD HILLS MI 48304|USA|||  ||BRINDA DEVINE|248 645-5130|Corporation|Pension consulting services|APPROVED|05/09/1983|0|0|0|0|0|0
Midwest 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
Midwest 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
Midwest 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
Midwest Regional Office| 110368|801-55763|CENTENNIAL INVESTMENT PLANNING INC|CENTENNIAL INVESTMENT PLANNING INC|511 S. WASHINGTON||LANSING MI 48933|USA|||  ||KURT A. CREAMER, CFA|517-485-9350|Corporation|Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|08/14/1998|0|0|0|0|0|0
Midwest 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
Midwest 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
Midwest 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
Midwest 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|||  ||EDWARD M. HABERER|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|1|1|0|0|0
Midwest 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
Midwest 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
Midwest 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
Midwest Regional Office| 110401|801-21826|POWERS INVESTMENT ADVISORY CORP|POWERS INVESTMENT ADVISORY CORP|4927 FAIRLAWN RD||LYNDHURST OH 44124|USA|||  ||WILLIAM P. POWERS|216-381-6111|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|09/07/1984|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 110412|801-57912|VISION ASSET MANAGEMENT INC|VISION ASSET MANAGEMENT INC|6111 NORTH RIVER ROAD|8TH FLOOR|ROSEMONT IL 60018|USA|||  ||JAMES O. BACON|847-653-0400|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/01/2000|0|0|0|0|0|0
Midwest Regional Office| 110422|801-15619|TERRIL & COMPANY|TERRIL BROTHERS INC|11906 MANCHESTER RD|SUITE 301|ST LOUIS MO 63131|USA|P.O. BOX 31277||ST. 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
Midwest 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
Midwest 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|BARRY R. JAMES|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)|APPROVED|10/02/1976|0|0|0|0|0|0
Midwest 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
Midwest 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
Midwest 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), Other|APPROVED|11/18/1996|0|0|0|0|0|0
Midwest 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|616-321-4444|Corporation|Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|10/28/1991|0|0|0|0|0|0
Midwest Regional Office| 110493|801-40822|MOLLER FINANCIAL SERVICES|JACK MOLLER & ASSOCIATES, INC.|TWO NORTHFIELD PLAZA, SUITE 217||NORTHFIELD IL 60093|USA|||  ||KEN WERNER|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
Midwest 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
Midwest Regional Office| 110502|801-33214|GRYPHON ADVISORS|TAKAKI CLOSE & ASSOCIATES, LTD.|1578 SHERMAN AVENUE||EVANSTON IL 60201|USA|||  ||D. DOUGLAS CLOSE|847-424-0465|Corporation|Financial planning services, Portfolio management 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|12/15/1988|0|2|0|0|0|0
Midwest Regional Office| 110503|801-56320|ANALYTICS INVESTMENT ADVISORS INC|ANALYTICS INVESTMENT ADVISORS INC|464 SECOND STREET|# 209|EXCELSIOR MN 55331|USA|||  ||BARB REIERSON|952-470-4703|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|03/04/1999|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 110510|801-57945|CB INVESTMENT ADVISORS, L.L.C.|CB INVESTMENT ADVISORS, L.L.C.|55 BRENDON WAY, SUITE 500||ZIONSVILLE IN 46077|USA|||  ||TIMOTHY J. SHEEHAN|317-733-2000|Limited Liability Company|Other|APPROVED|10/06/2000|0|1|0|0|0|0
Midwest 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
Midwest Regional Office| 110540|801-53560|CITADEL INVESTMENT ADVISORY INC|CITADEL INVESTMENT ADVISORY INC|37903 EUCLID AVE., SUITE 100|PO BOX 600|WILLOUGHBY OH 44096-0600|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
Midwest 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, Pension consulting services, Security ratings or pricing services|APPROVED|03/31/2000|0|0|0|0|0|0
Midwest Regional Office| 110580|801-56589|EDWARDS A G CAPITAL INC|EDWARDS A G CAPITAL INC|1 NORTH JEFFERSON AVE||ST LOUIS MO 63103|USA|||  ||ANN HOLDER|314-955-5656|Corporation|Other|APPROVED|06/04/1999|0|0|0|0|0|0
Midwest Regional Office| 110581|801-58119|WILLIAM BLAIR CAPITAL MANAGEMENT VII, L.P.|WILLIAM BLAIR CAPITAL MANAGEMENT VII, L.P.|222 WEST ADAMS STREET||CHICAGO IL 60606|USA|||  ||SMIRL, RICHARD|312-364-8921|Limited Liability Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/27/2000|0|1|0|0|0|0
Midwest Regional Office| 110582|801-55993|EDWARDS AG TRUST CO FSB|EDWARDS AG TRUST CO FSB|2 NORTH JEFFERSON AVE||ST LOUIS MO 63103|USA|||  ||JEFF KROPSCHOT|314-955-2275|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|10/18/1998|0|0|0|0|0|0
Midwest Regional Office| 110593|801-17378|COYLE ASSET MANAGEMENT CO|COYLE ASSET MANAGEMENT CO|540 FRONTAGE RD|SUITE 3220|NORTHFIELD IL 60093|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
Midwest 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
Midwest Regional Office| 110615|801-42983|PROPER ANALYSIS CORP|PROPER ANALYSIS CORP|25550 CHAGRIN BOULEVARD|SUITE 310|BEACHWOOD OH 44122-4640|USA|||  ||ANNE P. OGAN|216-595-3842|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|12/24/1992|0|0|0|0|0|0
Midwest Regional Office| 110638|801-32176|DIAMOND HILL CAPITAL MANAGEMENT INC|DIAMOND HILL CAPITAL MANAGEMENT INC|375 NORTH FRONT STREET|SUITE 300|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
Midwest 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
Midwest 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)|APPROVED|04/08/2004|0|0|0|0|0|0
Midwest Regional Office| 110645|801-18825|INDEPENDENT SERVICE CO INC|INDEPENDENT SERVICE CO INC|143 EAST MAIN STREET||ALBERT LEA MN 56007-0171|USA|||  ||ROBERT N. PRENTISS JR|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
Midwest Regional Office| 110650|801-50052|CLARK FINANCIAL SERVICES GROUP, INC.|CLARK FINANCIAL SERVICES GROUP INC|400 CHESTERFIELD CTR|STE 305|CHESTERFIELD MO 63017|USA|||  ||MATTHEW HERRON|636-532-0800|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, Selection of other advisers, Publication of periodicals or newsletters, Market timing services|APPROVED|09/18/1995|0|0|0|0|0|0
Midwest 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
Midwest 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|0|2|0|0|0|0
Midwest 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
Midwest Regional Office| 110715|801-56726|HOWE BARNES CAPITAL MANAGEMENT, INC.|HOWE BARNES CAPITAL MANAGEMENT, INC.|C/O HOWE BARNES INVESTMENTS, INC.|222 SOUTH RIVERSIDE PLAZA, 7TH FLOOR|CHICAGO IL 60606-5808|U.S.A.|||  ||DEAN A. FOLIAS|312-655-2771|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|07/29/1999|0|9|0|0|0|0
Midwest 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
Midwest Regional Office| 110721|801-16604|BUETER & ASSOCIATES INC|BUETER & ASSOCIATES INC|355 E. CAMPUS VIEW BLVD|STE 115|COLUMBUS OH 43235|USA|||  ||SEAN R. BUETER|614-885-9734|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|11/01/1981|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 110740|801-56195|CINFIN CAPITAL MANAGEMENT|CINFIN CAPITAL MANAGEMENT COMPANY|6200 SOUTH GILMORE ROAD||FAIRFIELD OH 45014|USA|||  ||GABRIEL GODDARD|513-603-5431|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
Midwest Regional Office| 110745|801-53178|DUFF & PHELPS LLC|DUFF & PHELPS LLC|311 S. WACKER DRIVE|STE 4200|CHICAGO IL 60606|USA|||  ||MICHAEL J MAREK|312-697-4663|Limited Liability Company|Pension consulting services|APPROVED|10/24/1996|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 110754|801-36109|MESIROW ADVANCED STRATEGIES INC|MESIROW ADVANCED STRATEGIES INC|321 N. CLARK STREET||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)|APPROVED|03/02/1990|0|0|0|0|0|0
Midwest Regional Office| 110757|801-16937|WAYNE HUMMER ASSET MANAGEMENT COMPANY|WAYNE HUMMER ASSET MANAGEMENT COMPANY|300 S WACKER DRIVE||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
Midwest Regional Office| 110762|801-21073|FLEXIBLE PLAN INVESTMENTS LTD|FLEXIBLE PLAN INVESTMENTS LTD|3883 TELEGRAPH RD|STE 100|BLOOMFIELD HILLS MI 48302-1432|USA|||  ||HUBERT J. BOHLE|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
Midwest 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
Midwest 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|APPROVED|11/05/1981|0|0|0|0|0|0
Midwest Regional Office| 110778|801-25420|FFP ADVISORY SERVICES INC|FFP ADVISORY SERVICES INC|15455 CONWAY ROAD||CHESTERFIELD MO 63017|USA|||  ||CHRISTINE D. 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|10/04/1985|21|49|15|0|0|0
Midwest Regional Office| 110781|801-16134|J.H. ELLWOOD & ASSOCIATES, INC.|J.H. ELLWOOD & ASSOCIATES, INC.|33 W MONROE|STE 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
Midwest Regional Office| 110792|801-22099|LEMLEY YARLING MANAGEMENT CO|LEMLEY YARLING MANAGEMENT CO|208 SOUTH LASALLE STREET|SUITE 723|CHICAGO IL 60604|USA|||  ||RALPH J. LEMLEY|312-372-2422|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
Midwest Regional Office| 110799|801-36076|THE MILLER FINANCIAL GROUP, INC.|THE MILLER FINANCIAL GROUP, INC.|3050 OLD CENTRE AVENUE|SUITE 101|PORTAGE MI 49024-4882|USA|||  ||DIANE K. WOLFE|(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
Midwest 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
Midwest Regional Office| 110825|801-53014|PMG ASSET MANAGEMENT INC|PMG ASSET MANAGEMENT INC|2500 WESTFIELD DRIVE||ELGIN IL 60123|USA|||  ||LAWRENCE DEBNAR|847 930-7872|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|09/12/1996|0|20|19|0|0|0
Midwest 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
Midwest 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
Midwest Regional Office| 110838|801-53024|FAIRPORT ASSET MANAGEMENT, LLC|FAIRPORT ASSET MANAGEMENT, LLC|3636 EUCLID AVENUE||CLEVELAND OH 44115|USA|||  ||KENNETH JOHN 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), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|08/30/1996|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 110862|801-16622|TOWLE & CO|TOWLE & CO|12855 FLUSHING MEADOW DRIVE||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
Midwest 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
Midwest 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|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
Midwest Regional Office| 110897|801-40592|ZACKS INVESTMENT MANAGEMENT, INC.|ZACKS INVESTMENT MANAGEMENT, INC.|155 NORTH WACKER DRIVE|SUITE 250|CHICAGO IL 60606|USA|155 NORTH WACKER DRIVE|SUITE 300|CHICAGO IL 60606|USA|RICHARD MARKS|312-639-9880 X161|Corporation|Portfolio 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
Midwest 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
Midwest Regional Office| 110899|801-57436|ALPHA TECHNOLOGIES GROUP INC|ALPHA TECHNOLOGIES GROUP INC|115 CAMPBELL STREET|200 A|GENEVA IL 60134|USA|||  ||MICHAEL D. MURRAY, CFA|630-845-1158|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/12/2000|0|0|0|0|0|0
Midwest Regional Office| 110905|801-56928|BKD WEALTH ADVISORS, LLC|BKD WEALTH ADVISORS, LLC|901 EAST ST LOUIS ST|STE 1000|SPRINGFIELD MO 65806|USA|||  ||BENJAMIN E. BRAMER|417-866-5822|Limited Liability Company|Financial planning services, Portfolio management for 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
Midwest 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
Midwest Regional Office| 110917|801-30773|PONDER INVESTMENT CO|PONDER INVESTMENT CO|180 N. STETSON AVE. STE. 750||CHICAGO IL 60601|USA|||  ||TERRY SHIREY|615-613-0211|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/04/1987|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 110934|801-16719|CEDAR CAPITAL MANAGEMENT|CEDAR CAPITAL MANAGEMENT INC|125 S. FIFTH AVE.||ANN ARBOR MI 48107-9902|USA|||  ||JAMES T. FORAN|734-662-4910|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
Midwest 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
Midwest Regional Office| 110944|801-61434|STEWARDSHIP CAPITAL, LTD.|STEWARDSHIP CAPITAL, LTD.|111 N. MAIN, SUITE 7||INDEPENDENCE MO 64050-2860|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, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|08/30/2002|0|0|0|0|0|0
Midwest Regional Office| 110960|801-25781|CTS FINANCIAL PLANNING, INC.|CERTIFIED TAX SERVICE, INC.|676 NORTH ST. CLAIR|SUITE 1900|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
Midwest Regional Office| 110965|801-39593|FA ASSET MANAGEMENT INC.|FA ASSET MANAGEMENT INC.|TWO MID AMERICA PLAZA|SUITE 606|OAKBROOK TERRACE IL 60181|USA|||  ||CHARLES TRAVIS|630-575-2575|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/30/1991|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 110999|801-55360|AMBASSADOR CAPITAL MANAGEMENT|AMBASSADOR CAPITAL MANAGEMENT LLC|211 WEST FORT STREET|SUITE 720|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
Midwest 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
Midwest Regional Office| 111022|801-60525|PEPPERTREE PARTNERS|PEPPERTREE PARTNERS, LLC|3550 LANDER ROAD|SUITE 300|PEPPER PIKE OH 44124|USA|||  ||KEVIN J. MCGINTY|216-514-4949|Limited Liability Company|Portfolio management for individuals and/or small businesses, Other|APPROVED|08/29/2001|0|0|0|0|0|0
Midwest Regional Office| 111039|801-32681|LVM CAPITAL MANAGEMENT LTD|LVM CAPITAL MANAGEMENT LTD|7840 MOORSBRIDGE ROAD||PORTAGE MI 49024|USA|||  ||CRAIG A. VANDER MOLEN|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
Midwest Regional Office| 111046|801-49181|THINKORSWIM ADVISORS, INC.|THINKORSWIM ADVISORS, INC.|3304 NORTH LINCOLN||CHICAGO IL 60657|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|APPROVED|05/17/1995|0|1|0|0|0|0
Midwest Regional Office| 111057|801-57505|IBBOTSON ASSOCIATES, INC.|IBBOTSON ASSOCIATES, INC.|225 N. MICHIGAN AVE|STE 700|CHICAGO IL 60601-7676|USA|||  ||DOREEN W. MITCHELL|312-616-1620|Corporation|Pension consulting services, Selection of other advisers|APPROVED|04/24/2000|0|0|0|0|0|0
Midwest 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
Midwest 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|Selection of other advisers|APPROVED|01/08/2001|0|23|0|0|0|0
Midwest Regional Office| 111084|801-58150|GREYSTONE INVESTMENT MANAGEMENT, LLC|GREYSTONE INVESTMENT MANAGEMENT, LLC|3805 EDWARDS ROAD|SUITE 180|CINCINNATI OH 45209|USA|||  ||RUTH W. ADAMS|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
Midwest 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|414-283-2267|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
Midwest 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
Midwest Regional Office| 111116|801-56383|ABG PORTFOLIO STRATEGIES, INC.|ABG PORTFOLIO STRATEGIES, INC.|30100 TELEGRAPH RD|STE 170|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
Midwest Regional Office| 111124|801-25982|CAPITAL FORMATION STRATEGIES INC|CAPITAL FORMATION STRATEGIES INC|2550 UNIVERSITY AVE|SUITE 233N|ST PAUL MN 55114|USA|||  ||DONALD A. JOHNSON|651-644-8412|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers, Financial planning services|APPROVED|12/19/1985|0|0|0|0|0|0
Midwest 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|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|05/15/1986|0|0|0|0|0|0
Midwest 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|||  ||MELISSA CHERNISKY|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
Midwest 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
Midwest 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|USA|||  ||BRUCE LAUER|312-634-9230|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|05/11/1992|0|10|2|0|0|0
Midwest 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, JR.|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
Midwest Regional Office| 111172|801-55189|EDWARD JONES TRUST CO|BOONE NATIONAL SAVINGS & LOAN ASSOCIATION, F.A.|12555 MANCHESTER ROAD||ST. LOUIS MO 63131|USA|||  ||LISA C. CARROLL|314-515-4983|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/25/1998|0|0|7|0|0|0
Midwest 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|||  ||AIDA SAMARZIJA|(212) 589-6488|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
Midwest Regional Office| 111200|801-57730|CAPRI CAPITAL MANAGEMENT, LLC|CAPRI CAPITAL MANAGEMENT, LLC|875 NORTH MICHICAN AVENUE, 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|07/27/2000|0|0|0|0|0|0
Midwest Regional Office| 111221|801-57236|RSM MCGLADREY, INC.|RSM MCGLADREY, INC.|801 NICOLLET AVENUE|SUITE 1100 WEST TOWER|MINNEAPOLIS MN 55402|USA|801 NICOLLET AVENUE|SUITE 1100 WEST TOWER|MINNEAPOLIS MN 55402|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), Selection of other advisers, Other|APPROVED|02/09/2000|0|6|0|0|0|0
Midwest 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
Midwest Regional Office| 111234|801-63431|RICH MIKKELSON RICH 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
Midwest Regional Office| 111246|801-60971|PAVLIC INVESTMENT ADVISORS, INC.|PAVLIC INVESTMENT ADVISORS, INC.|16535 W. BLUEMOUND ROAD|SUITE 360|BROOKFIELD WI 53005|USA|||  ||TERENCE V. PAVLIC|262-784-7649|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
Midwest Regional Office| 111257|801-56362|NORTH POINT PORTFOLIO MANAGERS CORPORATION|NORTH POINT PORTFOLIO MANAGERS CORPORATION|5910 LANDERBROOK, STE 160||MAYFIELD HEIGHTS OH 44124|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
Midwest 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|MARK TABER|608-249-7119|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|10/23/1997|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 111272|801-57657|LIBERTY FINANCIAL GROUP, INC.|LIBERTY ADVISORS 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, Publication of periodicals or newsletters, Other|APPROVED|06/20/2000|0|0|0|0|0|0
Midwest Regional Office| 111278|801-54108|BELLEVUE FINANCIAL GROUP LLC|BELLEVUE FINANCIAL GROUP LLC|9762 TOTH ST. P.O. BOX 167||BRIDGMAN MI 49106|USA|||  ||JOHN M PAWLIK|6164662151|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|03/24/1997|0|0|0|0|0|0
Midwest Regional Office| 111297|801-58266|CLIFTON GUNDERSON FINANCIAL ADVISORS L.L.C.|CLIFTON GUNDERSON FINANCIAL ADVISORS L.L.C.|301 SOUTHWEST ADAMS||PEORIA IL 61602|USA|6411 MINERAL POINT ROAD||MADISON WI 53705-4342|USA|WILLIAM E. SKOGLUND|608-661-1390|Limited Liability Company|Financial planning services, Portfolio management for 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
Midwest Regional Office| 111331|801-60100|1ST SOURCE CORPORATION INVESTMENT ADVISORS, INC.|1ST SOURCE CORPORATION INVESTMENT ADVISORS, INC.|100 NORTH MICHIGAN STREET||SOUTH BEND IN 46601|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
Midwest 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, Selection of other advisers|APPROVED|04/17/2001|0|0|0|0|0|0
Midwest 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
Midwest 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|APPROVED|09/21/1990|0|0|0|0|0|0
Midwest Regional Office| 111421|801-60309|SUMNICHT & ASSOCIATES, LLC|SUMNICHT & ASSOCIATES, LLC|W6240 COMMUNICATION COURT|SUITE #1|APPLETON WI 54914-8549|USA|||  ||DAVID 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
Midwest Regional Office| 111447|801-53760|STONEBRIDGE CAPITAL ADVISORS LLC|STONEBRIDGE CAPITAL ADVISORS LLC|2550 UNIVERSITY AVENUE WEST|SUITE 312N|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
Midwest 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
Midwest Regional Office| 111463|801-45256|STERNECK CAPITAL MANAGEMENT LLC|STERNECK CAPITAL MANAGEMENT LLC|4310 MADISON AVENUE|SUITE 208|KANSAS CITY MO 64111|USA|||  ||FRANK M. STERNECK|816-531-2254|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|12/20/1993|0|1|0|0|0|0
Midwest Regional Office| 111494|801-60114|BROADVIEW ADVISORS, LLC|BROADVIEW ADVISORS, LLC|100 EAST WISCONSIN AVENUE, SUITE 2500||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
Midwest Regional Office| 111508|801-60417|INTEGRATED WEALTH MANAGEMENT|INTEGRATED WEALTH MANAGEMENT|107 CASS STREET|SUITE A|TRAVERSE CITY MI 49684-2602|USA|||  ||JAY BERGER|231-935-4095|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|07/18/2001|0|0|0|0|0|0
Midwest 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
Midwest 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
Midwest Regional Office| 111538|801-60180|GLOBALBRIDGE|GLOBALBRIDGE ADVISORS, INC.|319 FIRST AVENUE NORTH|SUITE 400|MINNEAPOLIS MN 55401|USA|||  ||GERRI LYNN ZSCHETZSCHE|612-746-5850 EXT 16|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|04/12/2001|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 111578|801-58177|CHESLEY, TAFT & ASSOCIATES, LLC|CHESLEY, TAFT & ASSOCIATES, LLC|10 S. LASALLE STREET|SUITE 3250|CHICAGO IL 60603|USA|||  ||JOAN M. GIARDINA|312-873-1255|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|12/08/2000|0|0|0|0|0|0
Midwest Regional Office| 111594|801-57905|DETTERBECK WEALTH MANAGEMENT INC|DETTERBECK WEALTH MANAGEMENT INC|220 N. SMITH STREET|SUITE 410|PALATINE IL 60067-2477|USA|||  ||BRETT M. DETTERBECK|847-359-6262|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|APPROVED|08/23/2000|0|0|0|0|0|0
Midwest 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
Midwest 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
Midwest Regional Office| 111631|801-60301|MUNICREST INVESTMENT MANAGEMENT COMPANY|MUNICREST INVESTMENT MANAGEMENT COMPANY|6287 TAYLORSVILLE ROAD|SUITE 201|FISHERVILLE KY 40023|USA|||  ||BRADLEY SMITH|502-477-6864|Corporation|Portfolio 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
Midwest Regional Office| 111644|801-60287|ESOT RESOURCES, INC.|ESOT RESOURCES, INC.|20 NW CHIPMAN|SUITE 200|LEE'S SUMMIT MO 64063|USA|||  ||ROLAND G. THON|816-524-3466|Corporation|Financial planning services, Pension consulting services, Other|APPROVED|05/23/2001|0|0|0|0|0|0
Midwest Regional Office| 111681|801-57843|TRINITY FINANCIAL ADVISORS LLC|TRINITY FINANCIAL ADVISORS LLC|541 NORTH FAIRBANKS COURT|SUITE 1060|CHICAGO IL 60611|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
Midwest Regional Office| 111686|801-55225|PRIM ADVISORS, INCORPORATED|PRIM ADVISORS INC|200 PUBLIC SQUARE|SUITE 2500|CLEVELAND OH 44114|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
Midwest 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 businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/10/2000|0|0|0|0|0|0
Midwest Regional Office| 111705|801-60143|HFR ASSET MANAGEMENT, L.L.C|HFR ASSET MANAGEMENT, L.L.C|10 SOUTH RIVERSIDE PLAZA|SUITE 1450|CHICAGO IL 60606|USA|||  ||HANNA WOO|312-327-0430|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|04/06/2001|0|0|0|0|0|0
Midwest 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 businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|06/23/1992|0|0|0|0|0|0
Midwest 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
Midwest 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
Midwest 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
Midwest 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
Midwest Regional Office| 111787|801-60188|SCOUT INVESTMENT ADVISORS, INC.|SCOUT INVESTMENT ADVISORS, INC.|1010 GRAND BLVD||KANSAS CITY MO 64106|USA|||  ||BRADLEY STEWART KASTLER|(816) 860-7581|Corporation|Portfolio management for investment companies|APPROVED|04/11/2001|0|0|0|0|0|0
Midwest Regional Office| 111795|801-39426|JEFFREY SLOCUM & ASSOCIATES, INC.|JEFFREY SLOCUM & ASSOCIATES, INC.|43 MAIN STREET SE|#300|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
Midwest 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
Midwest 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|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|02/08/2000|0|0|0|0|0|0
Midwest Regional Office| 111834|801-62599|CENTURY HILL ADVISORS LLC|CENTURY HILL ADVISORS LLC|8625 CENTURY LANE||NOVELTY OH 44072|USA|P. O. BOX 139||NOVELTY OH 44072|USA|KATHY R. ROCHE|440-338-7155|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
Midwest Regional Office| 111849|801-58220|MACK FINANCIAL GROUP, INC.|MACK FINANCIAL GROUP, INC.|201 WEST 103RD STREET, SUITE 100||INDIANAPOLIS IN 46290|USA|||  ||RICHARD MACK|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
Midwest Regional Office| 111872|801-56878|IPI ASSET MANAGEMENT, INC.|KOSHINSKI 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, Pension consulting services|APPROVED|11/01/1999|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 111912|801-60125|U.S. BANCORP ASSET MANAGEMENT, INC.|U.S. BANCORP ASSET MANAGEMENT, INC.|800 NICOLLET MALL|BC-MN-H21C|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|APPROVED|04/13/2001|0|3|1|0|0|0
Midwest Regional Office| 111925|801-60167|USALLIANZ ADVISERS, LLC|USALLIANZ ADVISERS, 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|35|0|0|0|0
Midwest Regional Office| 111943|801-57402|FULLER HYLAND ADVISORS LLC|FULLER HYLAND ADVISORS LLC|272 E. DEERPATH  STE 304||LAKE FOREST IL 60045|USA|165 N. CANAL ST.,  #1124||CHICAGO IL 60606-1404|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
Midwest 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
Midwest 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)|APPROVED|09/03/1997|0|0|0|0|0|0
Midwest 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|||  ||MALCOLM G. NIMICK, CFA|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
Midwest 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)|Portfolio 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|0|0|0|0|0
Midwest 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
Midwest Regional Office| 112048|801-60341|ARBOR ASSET MANAGEMENT, LLC|ARBOR ASSET MANAGEMENT, LLC|1945 PAULINE BLVD., SUITE 21C||ANN ARBOR MI 48103|USA|||  ||NEIL 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
Midwest Regional Office| 112056|801-57180|J&J MANAGEMENT SERVICES, INC.|J&J MANAGEMENT SERVICES, INC.|1034 SOUTH BRENTWOOD BLVD SUITE 1860||ST. LOUIS MO 63117-1229|USA|||  ||JEFFREY MCDONNELL|(314) 862-1040, EXT. 2|Corporation|Financial planning 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|02/16/2000|0|0|0|0|0|0
Midwest Regional Office| 112081|801-58191|ASPEN GOLD INVESTMENT MANAGEMENT, INC.|ASPEN GOLD INVESTMENT MANAGEMENT, INC.|3358 EAGLE RUN DR., N.E.,|SUITE 4|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
Midwest 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|||  ||BRIAN FRANC|(312) 595-6072|Corporation|Other|APPROVED|09/11/2000|0|0|0|0|0|0
Midwest 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
Midwest 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|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|06/02/1995|0|0|0|0|0|0
Midwest Regional Office| 112123|801-48171|THE FIDELITY GROUP|THE FIDELITY GROUP INCORPORATED|4000 LIVERNOIS, SUITE 120||TROY MI 48098|USA|||  ||THOMAS J. RABAUT, CFP|248-524-9890|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
Midwest Regional Office| 112158|801-44058|PLANTE MORAN FINANCIAL ADIVSORS|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
Midwest Regional Office| 112162|801-61011|FINANCIAL PLANNING SERVICES, INC|FINANCIAL PLANNING SERVICES, INC|6417 ODANA RD||MADISON WI 53719|USA|||  ||HERBERT T HANSON|608-274-2340|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
Midwest Regional Office| 112169|801-57849|MILLER CAPITAL ADVISORY, INC.|MILLER CAPITAL ADVISORY, INC.|5750 OLD ORCHARD ROAD|SUITE 400|SKOKIE IL 60077|USA|||  ||ANDREW R. MILLER|(847) 966-9600|Corporation|Pension consulting services|APPROVED|08/15/2000|0|0|0|0|0|0
Midwest 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|ATTN: GREGORY S. COURTWRIGHT, 500 N. AKARD|3300 LINCOLN PLAZA|DALLAS TX 75201-3394|USA|JENIFER A. RATCLIFFE|312-345-8776|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
Midwest 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
Midwest Regional Office| 112181|801-61931|WARNKE/NICHOLS LTD.|WARNKE/NICHOLS LTD.|5307 S. 92ND STREET, SUITE 140||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), Publication of periodicals or newsletters|APPROVED|04/03/2003|0|0|0|0|0|0
Midwest 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
Midwest 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|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|04/09/2002|0|0|0|0|0|0
Midwest Regional Office| 112203|801-57360|S4 CAPITAL, LLC|S4 CAPITAL, LLC|ONE NORTH WACKER DRIVE|SUITE 4700|CHICAGO IL 60606|USA|||  ||JASON N. SHIH|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
Midwest 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
Midwest 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
Midwest Regional Office| 112338|801-21|BARTLETT & CO|BARTLETT & CO|36 E 4TH STREET||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 investment companies, 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
Midwest Regional Office| 112345|801-57923|THE PEACH CORPORATION|THE PEACH CORPORATION|32270 TELEGRAPH ROAD SUITE 150||BINGHAM FARMS MI 48025|USA|||  ||LYNN MCMULLIN|248-258-2870|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|01/09/2001|0|0|0|0|0|0
Midwest 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
Midwest 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
Midwest 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
Midwest Regional Office| 112441|801-57323|ALLIED ASSET ADVISORS INC|ALLIED ASSET ADVISORS INC|745 MCCLINTOCK DR STE 314||BURR RIDGE IL 60527|USA|||  ||SUHAIB QUADRI|(630)789-0453|Corporation|Portfolio management for investment companies|APPROVED|03/03/2000|0|0|0|0|0|0
Midwest Regional Office| 112447|801-56483|COE CAPITAL MANAGEMENT, LLC|COE CAPITAL MANAGEMENT, LLC|100 TRI-STATE INTERNATIONAL|SUITE 110|LINCOLNSHIRE IL 60069|USA|||  ||PETER ORTH|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
Midwest Regional Office| 112456|801-51728|WILSON DONALD J ASSOCIATES|WILSON DONALD JOHN|582 CARY WOODS CIRCLE|PO BOX 146|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
Midwest Regional Office| 112525|801-60401|MORNINGSTAR INVESTMENT SERVICES,INC|MORNINGSTAR INVESTMENT SERVICES, INC|225 WEST WACKER DRIVE||CHICAGO IL 60606|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
Midwest 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, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|06/01/2001|0|0|0|0|0|0
Midwest Regional Office| 112571|801-55516|ALPHA ASSET MANAGEMENT|JCT INVESTMENT COUNSEL, INC.|50 SOUTH MAIN STREET, SUITE 110||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), Selection of other advisers|APPROVED|05/08/1998|0|0|0|0|0|0
Midwest Regional Office| 112587|801-60937|VOIT & HAMILTON, LLC|VOIT & HAMILTON, LLC|12700 W BLUEMOUND RD||ELM GROVE WI 53122|USA|12700 W BLUEMOUND RD||ELM GROVE WI 53122|USA|TODD KEVIN VOIT|262-784-2775|Limited 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|02/15/2002|0|0|0|0|0|0
Midwest 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
Midwest 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
Midwest 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|||  ||ERIC A. BLOOM|847-412-4420|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
Midwest 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
Midwest 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|0|0|0|0
Midwest 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 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
Midwest 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
Midwest Regional Office| 112701|801-60235|SOSNOWY INVESTMENT MANAGEMENT COMPANY|NEW SIMCO, INC.|3883 TELEGRAPH ROAD, SUITE 100||BLOOMFIELD HILLS MI 48302|USA|||  ||JOHN K. SOSNOWY|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
Midwest Regional Office| 112702|801-60264|ALLEY COMPANY, LLC|ALLEY COMPANY, LLC|585 BANK LANE|SUITE 2400|LAKE FOREST IL 60045|USA|||  ||STEVE 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
Midwest 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
Midwest Regional Office| 112773|801-55499|COLUMBIA CAPITAL MANAGEMENT, LLC|COLUMBIA CAPITAL MANAGEMENT, LLC|1509 WASHINGTON AVE., STE. 555||ST.LOUIS MO 63103|USA|6950 SQUIBB ROAD|SUITE 400|MISSION KS 66202|USA|KEVIN B. WICKLIFFE|913-248-8500|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
Midwest 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
Midwest Regional Office| 112828|801-62733|PEOPLES FEDERAL SAVINGS BANK|PEOPLES FEDERAL SAVINGS BANK OF DEKALB COUNTY|212 W. 7TH STREET|PO BOX 231|AUBURN IN 46706|USA|||  ||DONALD E. BUDD|260-925-8307|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/20/2004|0|0|0|0|0|0
Midwest Regional Office| 112875|801-25413|DRAPER & KRAMER REALTY ADVISORS, INC.|DRAPER & KRAMER REALTY ADVISORS, INC.|33 WEST MONROE STREET|SUITE 1900|CHICAGO IL 60603-5486|USA|||  ||DANIEL MAUE|312-580-6654|Corporation|Pension consulting services|APPROVED|05/12/1988|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 113003|801-29245|JANUS RAPPAPORT ASSOCIATES, INC.|JANUS RAPPAPORT ASSOCIATES, INC.|150 S WACKER DR, STE 250||CHICAGO IL 60606|USA|||  ||ALAN RAPPAPORT|312-977-1640|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
Midwest 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
Midwest 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
Midwest Regional Office| 113042|801-60367|HARBOR CAPITAL ADVISORS, INC.|HARBOR CAPITAL ADVISORS, INC.|ONE SEAGATE||TOLEDO OH 43666|USA|||  ||CHARLES F. MCCAIN|(419)249-2920|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
Midwest 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
Midwest Regional Office| 113078|801-60551|HYDEPARK INVESTMENT STRATEGIES, LLC|HYDEPARK INVESTMENT STRATEGIES,LLC|111 WEST JACKSON BOULEVARD SUITE 1411||CHICAGO IL 60604|USA|||  ||MARY BETH EIERMANN|312-803-5520|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|09/11/2001|0|0|0|0|0|0
Midwest 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
Midwest 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
Midwest Regional Office| 113136|801-61063|AA CAPITAL PARTNERS, INC.|AA CAPITAL PARTNERS, INC.|10 S. LASALLE ST.|SUITE 3712|CHICAGO IL 60603-1024|USA|||  ||MARY BETH STEVENS|(312) 419-4780|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|04/08/2002|0|0|0|0|0|0
Midwest Regional Office| 113175|801-35303|NEWPORT INVESTMENT ADVISORS INC|NEWPORT INVESTMENT ADVISORS INC|23775 COMMERCE PARK RD||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), Market timing services|APPROVED|11/09/1989|0|0|0|0|0|0
Midwest Regional Office| 113179|801-60293|MMA TRUST COMPANY|MMA TRUST COMPANY|1110 NORTH MAIN STREET||GOSHEN IN 46528|USA|PO BOX 483||GOSHNE 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), Publication of periodicals or newsletters|APPROVED|05/23/2001|0|0|0|0|0|0
Midwest 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
Midwest 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), Selection of other advisers, Other|APPROVED|06/25/2001|0|0|0|0|0|0
Midwest Regional Office| 113328|801-63133|NETOLS ASSET MANAGEMENT INC|NETOLS ASSET MANAGEMENT INC|1045 W. GLEN OAKS LANE|SUITE 201|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
Midwest 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
Midwest Regional Office| 113412|801-62677|HUNTLEIGH ADVISORS, INC.|HUNTLEIGH ADVISORS, INC.|7800 FORSYTH BLVD.|5TH FLOOR|ST. LOUIS MO 63105|USA|||  ||ROBERT GRUNZINGER|314-236-2253|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
Midwest 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, Selection of other advisers|APPROVED|03/29/2002|0|0|0|0|0|0
Midwest Regional Office| 113546|801-60685|CHAMPS INVESTMENTS, LLC|CHAMPS INVESTMENTS, LLC|THREE STAR PLAZA|1226 HURON ROAD EAST|CLEVELAND OH 44115|USA|||  ||PAMELA SZUCS|(216) 696-6900|Limited Liability Company|Pension consulting services, Selection of other advisers|APPROVED|11/09/2001|0|0|0|0|0|0
Midwest Regional Office| 113564|801-64548|EIDE BAILLY ADVISORS, LLC|EIDE BAILLY ADVISORS, LLC|5601 GREEN VALLEY DRIVE|SUITE 720|BLOOMINGTON MN 55437|USA|||  ||JOHN FOX|952-918-3510|Limited Liability Company|Financial planning services, Portfolio management 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
Midwest 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
Midwest Regional Office| 113630|801-60368|BALASA DINVERNO & FOLTZ LLC|BALASA DINVERNO & FOLTZ LLC|500 PARK BOULEVARD|SUITE 1400|ITASCA IL 60143|USA|||  ||ARMOND A. DINVERNO|630-875-4906|Limited Liability Company|Financial planning 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
Midwest Regional Office| 113635|801-60413|CORNERSTONE ASSET MANAGEMENT, INC.|CORNERSTONE ASSET MANAGEMENT, INC.|2427 AUTUMN GROVE CIRCLE||AURORA IL 60504|USA|||  ||JOHN-MARC BERTHOUD|630-898-8822|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|07/23/2001|0|0|0|0|0|0
Midwest Regional Office| 113735|801-60555|RESOURCES PLANNING GROUP INC|RESOURCES PLANNING GROUP INC|53 W. JACKSON ST. SUITE 1435||CHICAGO IL 60604|USA|||  ||TERRANCE R. HENNESSY|312-427-1592|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|09/07/2001|0|0|0|0|0|0
Midwest 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)|APPROVED|03/30/2004|0|0|0|0|0|0
Midwest Regional Office| 113749|801-60548|RETIREMENT PLANNING SPECIALISTS, INC.|RETIREMENT PLANNING SPECIALISTS, INC.|1509 S. COMMERCIAL ST. SUITE 1||NEENAH WI 54956|USA|||  ||CHRISTINE RONDEAU|920/722-4039|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|09/07/2001|0|0|0|0|0|0
Midwest Regional Office| 113799|801-63744|FAMILY INVESTMENT CENTER|FAMILY INVESTMENT CENTER, INC.|3805 OAKLAND AVE., STE. 201||ST. JOSEPH MO 64506|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
Midwest Regional Office| 113816|801-60433|BARR RIVER CAPITAL ADVISORS|BARR RIVER CAPITAL ADVISORS LLC|135 PARK AVENUE||BARRINGTON IL 60010|USA|||  ||ANDREW P. MCVEIGH CFA|847-382-6479|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/25/2004|0|0|0|0|0|0
Midwest Regional Office| 113878|801-60399|MCDONNELL INVESTMENT MANAGEMENT, LLC|MCDONNELL INVESTMENT MANAGEMENT, LLC|1515 W. 22ND STREET, 11TH FLR||OAK BROOK IL 60523|USA|||  ||JAMES BOYNE|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
Midwest 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|APPROVED|07/23/1999|0|1|0|0|0|0
Midwest 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
Midwest 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, 500 N. AKARD|3300 LINCOLN PLAZA|DALLAS TX 75201-3394|USA|GARY KOBUS|312-345-8780|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
Midwest Regional Office| 114048|801-60440|HOTCHKISS ASSOCIATES LLC|HOTCHKISS ASSOCIATES LLC|208 SOUTH LASALLE STREET, SUITE 712||CHICAGO IL 60604-1006|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
Midwest Regional Office| 114059|801-60426|PARAGON ASSET MANAGEMENT, LTD.|PARAGON ASSET MANAGEMENT, LTD.|120 LAWNDALE AVENUE||WILMETTE IL 60091|USA|||  ||MIKE RYAN|847-256-6700|Corporation|Portfolio management for individuals and/or small businesses, Pension consulting services, Publication of periodicals or newsletters|APPROVED|07/20/2001|0|0|0|0|0|0
Midwest Regional Office| 114085|801-60721|MASON STREET ADVISORS, LLC|MASON STREET ADVISORS, LLC|720 EAST WISCONSIN AVENUE||MILWAUKEE WI 53202|USA|||  ||EDWARD S. DRYDEN|(414) 665-5005|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|19|2|0|0|0
Midwest Regional Office| 114094|801-55954|LONGSHIP ADVISERS, LLC|LONGSHIP ADVISERS, LLC|123 NORTH THIRD STREET|SUITE 505|MINNEAPOLIS MN 55401|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
Midwest 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
Midwest Regional Office| 114390|801-62870|DORION-GRAY RETIREMENT PLANNING, INC.|DORION GRAY FINANCIAL SERVICES INC.|360 MEMORIAL DRIVE|SUITE 200|CRYSTAL LAKE IL 60014|USA|||  ||ROBERT M. GRAY|815-455-4963|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
Midwest 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
Midwest 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
Midwest Regional Office| 114727|801-60577|LIFESTAGE WEALTH MANAGEMENT LLC|LIFESTAGE WEALTH MANAGEMENT LLC|715 FLORIDA AVENUE SOUTH|SUITE 205|GOLDEN VALLEY MN 55426|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
Midwest Regional Office| 114801|801-60481|ARLINGTON CAPITAL MANAGEMENT, INC.|ARLINGTON CAPITAL MANAGEMENT, INC.|1650 N. ARLINGTON HEIGHTS ROAD|SUITE 204|ARLIGTON HEIGHTS IL 60004|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
Midwest 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|||  ||SHERRY L. HARMON|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
Midwest 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
Midwest Regional Office| 115029|801-60703|BREMER INVESTMENT ADVISORY SERVICES|BREMER TRUST NATIONAL ASSOCIATION|445 MINNESOTA ST|SUITE 2000|ST. PAUL MN 55101|USA|||  ||JOEL W. REIMERS|(651) 312-3668|Other (specify)|Portfolio management for investment companies|APPROVED|11/20/2001|0|0|0|0|0|0
Midwest 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
Midwest 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
Midwest 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
Midwest 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
Midwest 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
Midwest 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
Midwest 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
Midwest 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
Midwest Regional Office| 115181|801-61150|EFS FINANCIAL RESOURCES, LLC|EFS FINANCIAL RESOURCES, LLC|226 NORTH BROAD STREET||MANKATO MN 56001|USA|P.O. BOX 3427||MANKATO MN 56001|USA|DAN SHERWIN|507-625-1778|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|05/20/2002|0|0|0|0|0|0
Midwest 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
Midwest 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
Midwest Regional Office| 115213|801-60553|LAGER & COMPANY, INC.|LAGER & COMPANY, INC.|4301 BEVERLY AVENUE||GOLDEN VALLEY MN 55422|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), Selection of other advisers, Other|APPROVED|09/24/2001|0|0|0|0|0|0
Midwest Regional Office| 115238|801-64357|GREAT RIVER ASSET MANAGEMENT LLC|GREAT RIVER ASSET MANAGEMENT LLC|214 NORTH FOURTH STREET||BURLINGTON IA 52601|USA|P.O. BOX 725||BURLINGTON IA 52601|USA|JAMES R. WALKER|319-758-6792|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|06/21/2005|0|0|0|0|0|0
Midwest Regional Office| 115277|801-64497|NORTH COMPASS FINANCIAL ADVISORS, INC.|NORTH COMPASS FINANCIAL ADVISORS, INC.|412 POKEGAMA AVENUE N.||GRAND RAPIDS MN 55744|USA|2575 BEAR VALLEY DRIVE||CARLTON MN 55718|USA|DALE A. ANICH|218-384-3447|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|07/15/2005|0|0|0|0|0|0
Midwest Regional Office| 115290|801-60566|RYAN CAPITAL ADVISORS, LTD.|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
Midwest 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
Midwest 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
Midwest Regional Office| 115364|801-62815|DAVID R. KERN ASSET MANAGEMENT|ADVANTAGE FINANCIAL PLANNING, INC.|16616 LIMA RD.||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
Midwest Regional Office| 115384|801-62026|LEGACY FINANCIAL ADVISORS CORPORATION|LEGACY FINANCIAL ADVISORS CORPORATION|3500 AMERICAN BLVD W|SUITE 675|BLOOMINGTON MN 55431|USA|||  ||THOMAS LEE MENZEL|952-893-5565|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/05/2003|0|0|0|0|0|0
Midwest Regional Office| 115416|801-61949|FINANCIAL INVESTMENTS RESEARCH & MANAGEMENT LC|FINANCIAL INVESTMENTS RESEARCH & MANAGEMENT LC|1101 5TH STREET|SUITE 204|CORALVILLE IA 52241|USA|||  ||JAMES H. EICK|319-339-0314|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|03/28/2003|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 115501|801-60576|TOUCHSTONE PARTNERS, L.L.C.|TOUCHSTONE PARTNERS, L.L.C.|355 SOUTH OLD WOODWARD SUITE 270||BIRMINGHAM MI 48009-6260|USA|||  ||VINEET KAPUR|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
Midwest 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|||  ||ELIZABETH R. FOSTER|312-913-1253|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
Midwest Regional Office| 115605|801-62565|PERSONAL FINANCIAL PLANNING, INC.|PERSONAL FINANCIAL PLANNING, INC.|1419 LAKE COOK ROAD, SUITE 470||DEERFIELD IL 60015|USA|||  ||MARC STEINMAN|847-914-9200|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
Midwest Regional Office| 115606|801-58256|BEDFORD FINANCIAL GROUP, INC.|MICHAEL R ROESER AND ASSOCIATES, INC.|900 NORTH SHORE DRIVE, SUITE 205||LAKE BLUFF IL 60044|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
Midwest 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
Midwest Regional Office| 115699|801-60963|CLARITY ASSET MANAGEMENT, INC.|CLARITY ASSET MANAGEMENT, INC.|3126 104TH STREET||URBANDALE IA 50322|USA|P.O. BOX 3898||URBANDALE IA 50323|USA|BRADLEY RAY PEYTON|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
Midwest Regional Office| 115717|801-60718|ALCOS|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
Midwest 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
Midwest Regional Office| 115785|801-60701|THRIVENT FINANCIAL FOR LUTHERANS|THRIVENT FINANCIAL FOR LUTHERANS|625 FOURTH AVENUE SOUTH||MINNEAPOLIS MN 55415|USA|||  ||MARLENE J. NOGLE|612-340-8492|Corporation|Portfolio management for investment companies|APPROVED|11/13/2001|0|3|0|0|0|0
Midwest 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
Midwest Regional Office| 116081|801-60781|TRILOGY CAPITAL ADVISORS L.L.C.|CAPRI REAL ESTATE SECURITIES, LLC|444 WEST 47TH STREET|SUITE 315|KANSAS CITY MO 64112|USA|||  ||DAVID BOYLAN|816-531-9393|Limited Liability Company|Portfolio management for individuals and/or small businesses, Other|APPROVED|12/14/2001|0|0|0|0|0|0
Midwest Regional Office| 116214|801-61161|DEWAAY CAPITAL MANAGEMENT|DEWAAY CAPITAL MANAGEMENT, INC.|1415 GRAND AVENUE||WEST DES MOINES IA 50265|USA|||  ||DONALD GENE DEWAAY|515-224-9861|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|05/20/2002|0|0|0|0|0|0
Midwest 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, Portfolio management for investment companies, Pension consulting services, Other|APPROVED|12/11/2001|0|0|0|0|0|0
Midwest Regional Office| 116368|801-64427|JAGUAR INVESTMENT SERVICES, LTD|JAGUAR INVESTMENT SERVICES, LTD|4857 WELLINGTON COURT||EAGAN MN 55122|USA|||  ||JOHN D. GAREAU|651.683.0272|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|06/23/2005|0|0|0|0|0|0
Midwest Regional Office| 116407|801-60749|WEALTH ENHANCEMENT ADVISORY SERVICES, LLC|WEALTH ENHANCEMENT ADVISORY SERVICES, LLC|1905 EAST WAYZATA BLVD.||WAYZATA MN 55391|USA|||  ||MICHAEL STEFANO|952-449-9579|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
Midwest Regional Office| 116408|801-61526|ASTOR ASSET MANAGEMENT, LLC|ASTOR ASSET MANAGEMENT, L.L.C.|1 SOUTH WACKER DRIVE|SUITE 3875|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
Midwest 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|||  ||PETER GUNDER|847.317.9010|Limited Liability Company|Pension consulting services, Selection of other advisers|APPROVED|12/06/2001|0|0|0|0|0|0
Midwest Regional Office| 116548|801-63769|FINANCIAL CONCEPTS, INC.|FINANCIAL CONCEPTS OF THE TWIN CITIES, INC.|11100 BREN ROAD WEST|SUITE B|MINNETONKA MN 55343|USA|||  ||BARB LINDERHOLM|952-653-1309|Corporation|Financial 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|1|0|0|0|0
Midwest Regional Office| 116592|801-62424|UHY CAPITAL ADVISORS, LLC|UHY CAPITAL ADVISORS, LLC|303 WEST MADISON AVE.|SUITE 1100|CHICAGO IL 60606|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
Midwest Regional Office| 116844|801-60716|K.G. REDDING & ASSOCIATES, LLC|K.G. REDDING & ASSOCIATES, LLC|71 SOUTH WACKER DRIVE|SUITE 3400|CHICAGO IL 60606-2841|USA|||  ||KIM G. REDDING|312-377-8210|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/19/2001|0|0|0|0|0|0
Midwest 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
Midwest 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|Portfolio management 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, Financial planning services|APPROVED|11/13/2001|0|0|0|0|0|0
Midwest 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|APPROVED|05/02/2003|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 117048|801-60689|SENA WELLER ROHS WILLIAMS LLC|SENA WELLER ROHS WILLIAMS LLC|300 MAIN STREET||CINCINNATI OH 45202|USA|||  ||TROJA, J. GRANT|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
Midwest 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
Midwest Regional Office| 117129|801-60956|COMPASS WEALTH ADVISORS, LLC|COMPASS WEALTH ADVISORS, LLC|100 S. MAIN ST.||ELKHART IN 46516-3122|USA|||  ||AARON S COATES|(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
Midwest Regional Office| 117287|801-63925|STERLING INVESTMENT ADVISORS,LLC|STERLING INVESTMENT ADVISORS,LLC|2000 S. SPRINGFIELD AVE.|SUITE A|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
Midwest 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
Midwest Regional Office| 117436|801-63825|GENEREUX INVESTMENT MANAGEMENT|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
Midwest Regional Office| 117491|801-60922|KCPAG FINANCIAL ADVISORS LLC|KCPAG FINANCIAL ADVISORS LLC|302 E. WALNUT STREET||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
Midwest 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
Midwest 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
Midwest 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) 432-6700|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
Midwest Regional Office| 117665|801-64082|LIVELSBERGER FINANCIAL ADVISORY|LIVELSBERGER, LYNN LOUIS|45 WEST MAIN ST|STE 1|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
Midwest 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
Midwest Regional Office| 117681|801-62013|NORTH STAR INVESTMENT MANAGEMENT CORPORATION|NORTH STAR INVESTMENT MANAGEMENT CORPORATION|20 N. WACKER DRIVE|SUITE 1416|CHICAGO IL 60606|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
Midwest Regional Office| 117743|801-61446|HIGH POINTE CAPITAL MANAGEMENT, LLC|HIGH POINTE CAPITAL MANAGEMENT, LLC|1110 WEST LAKE COOK ROAD|SUITE 372|BUFFALO GROVE IL 60089|USA|||  ||GAUTAM DHINGRA|847-537-7400(X-101)|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/13/2002|0|0|0|0|0|0
Midwest Regional Office| 117751|801-61000|DAVIS, ROSS, HOCKMAN INVESTMENT ADVISERS, LLC|DAVIS, ROSS, HOCKMAN INVESTMENT ADVISERS, LLC|330 W. SPRING STREET, SUITE 210||COLUMBUS OH 43215|USA|||  ||MARK ALLEN DAVIS|614-224-1629|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|03/22/2002|0|0|0|0|0|0
Midwest 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|||  ||THOMAS A. HAUGHT|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|APPROVED|04/19/2002|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 117893|801-61209|L.A. BURTON & ASSOCIATES, INC.|L.A. BURTON & ASSOCIATES, INC.|1224 CENTRE WEST DRIVE|SUITE 200|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
Midwest Regional Office| 117909|801-63013|STEVE ROBBINS, INC.|STEVE ROBBINS, INC.|325 RUE SAINT FRANCOIS||FLORISSANT MO 63031|USA|||  ||STEPHEN ROBBINS|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, Selection of other advisers|APPROVED|04/15/2004|0|0|0|0|0|0
Midwest 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)|APPROVED|04/07/2004|0|0|0|0|0|0
Midwest Regional Office| 117958|801-61481|HANCOCK INVESTMENT ADVISORS, LLC|HANCOCK INVESTMENT ADVISORS, LLC|9645 CLAYTON RD.||ST. LOUIS MO 63124|USA|||  ||CLINT J LEWIS|314-997-3191|Limited 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|09/24/2002|0|2|0|0|0|0
Midwest Regional Office| 117962|801-61205|PUNCH & ASSOCIATES INVESTMENT MANAGEMENT, INC.|PUNCH & ASSOCIATES INVESTMENT MANAGEMENT, INC.|510 1ST AVENUE NORTH|SUITE 601|MINNEAPOLIS MN 55403|USA|||  ||NANCY BOHLMAN|612-341-2212|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
Midwest 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
Midwest 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
Midwest Regional Office| 118048|801-62198|VOISARD ASSET MANAGEMENT GROUP|VAM GROUP, INC.|146 MONROE CENTER NW|SUITE 900|GRAND RAPIDS MI 49503|USA|P.O. BOX 205|938 15TH STREET|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
Midwest 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, Other|APPROVED|05/31/2002|0|1|0|0|0|0
Midwest Regional Office| 118421|801-60948|WASMER, SCHROEDER & COMPANY, LLC|WASMER, SCHROEDER & COMPANY, LLC|1220 WEST 6TH STREET|SUITE 500|CLEVELAND OH 44113|USA|||  ||JOHN S. MAJOROS III|(216) 622-0000|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
Midwest 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
Midwest Regional Office| 118616|801-61001|ADVOCATE ASSET MANAGEMENT, LLC|ADVOCATE INVESTMENT ADVISORS, L.L.C.|10 S. RIVERSIDE PLAZA|SUITE 1510|CHICAGO IL 60606|USA|||  ||DAVID J. KUDISH|312-756-0074|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
Midwest 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
Midwest Regional Office| 118739|801-60978|SHEAFF BROCK INVESTMENT ADVISORS, LLC|SHEAFF BROCK INVESTMENT ADVISORS, LLC|10401 N. MERIDIAN STREET|SUITE 130|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
Midwest Regional Office| 118743|801-60848|BRADY WARE INVESTMENT COUNSEL|BRADY WARE INVESTMENT COUNSEL, LLC|ONE SOUTH MAIN STREET|SUITE 600|DAYTON OH 45402|USA|||  ||TIMOTHY M. O'LOUGHLIN|(937) 223-5247|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/15/2002|0|0|0|0|0|0
Midwest Regional Office| 118888|801-60919|ADVANCED CAPITAL ADVISERS, INC.|ADVANCED CAPITAL ADVISERS, INC.|7760 FRANCE AVE. S.|SUITE 1350|MINNEAPOLIS MN 55435|USA|||  ||SARA HEMMESCH|952-285-2636|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies|APPROVED|02/22/2002|0|1|0|0|0|0
Midwest Regional Office| 118891|801-60958|ATTUCKS ASSET MANAGEMENT, LLC|ATTUCKS ASSET MANAGEMENT, LLC|200 WEST MADISON|SUITE 1940|CHICAGO IL 60606|USA|||  ||LESLIE F. BOND|312-499-9200|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
Midwest Regional Office| 118971|801-60923|MERIDIAN ADVISORY SERVICES|MERIDIAN ADVISORY SERVICES LLC|04755 LAKESHORE DR.||CHARLEVOIX MI 49720|USA|PO BOX 68||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
Midwest Regional Office| 118994|801-61051|THE PLANNING CENTER ADVISORS, INC.|THE PLANNING CENTER ADVISORS, INC.|4720-38TH AVENUE, SUITE 2||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
Midwest Regional Office| 119106|801-62835|THE MUTUAL FUND STORE- SPRINGFIELD|TMFS-SPRINGFIELD, LLC|1835 E. REPUBLIC ROAD, STE. 202||SPRINGFIELD MO 65804|USA|||  ||TERRY 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
Midwest Regional Office| 119113|801-62861|LOGIX INVESTMENT MANAGEMENT|THE LOGIX GROUP, LLC|25825 SCIENCE PARK DRIVE|250|CLEVELAND OH 44122|USA|||  ||GILLIAN GRAHAM|216-765-8160|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
Midwest Regional Office| 119135|801-60907|SHAKER INVESTMENTS|SHAKER INVESTMENTS, L.L.C.|2000 AUBURN DRIVE|SUITE 300|CLEVELAND OH 44122|USA|||  ||MICHAEL DONAHOE|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
Midwest 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
Midwest Regional Office| 119209|801-62598|THE APPLETON GROUP, LLC|THE APPLETON GROUP, 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), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|12/04/2003|0|0|0|0|0|0
Midwest Regional Office| 119237|801-65329|NEW SALEM CAPITAL, LLC|NEW SALEM CAPITAL, LLC|FIVE EXECUTIVE COURT|SUITE 4|SOUTH BARRINGTON IL 60010|USA|||  ||JAN BRITIGAN|847-713-8002|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/19/2006|0|0|0|0|0|0
Midwest 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
Midwest 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
Midwest Regional Office| 119347|801-60928|FIRST FINANCIAL CAPITAL ADVISORS LLC|FIRST FINANCIAL CAPITAL ADVISORS LLC|300 HIGH STREET||HAMILTON OH 45013|USA|||  ||LONDA M. MAHER|513-603-4028|Limited Liability Company|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
Midwest Regional Office| 119403|801-61460|LIFESTAGE WEALTH MANAGEMENT GROUP LLC|LIFESTAGE WEALTH MANAGEMENT GROUP LLC|221 CENTRAL AVENUE|SUITE 9|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
Midwest Regional Office| 119451|801-63897|THE ALPINE FINANCIAL GROUP|THE CARROLL FINANCIAL GROUP|2142 ALPINE PLACE||CINCINNATI OH 45206|USA|||  ||THOMAS P. CARROLL|513-861-1889|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|01/28/2005|0|0|0|0|0|0
Midwest Regional Office| 119467|801-62376|CLANCO MANAGEMENT CORP.|CLANCO MANAGEMENT CORP.|30195 CHAGRIN BLVD., SUITE 250||CLEVELAND OH 44124|USA|||  ||SALLY A. TAYLOR|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
Midwest Regional Office| 119478|801-61012|ECONOSTRAT ADVISORY CORP.|ECONOSTRAT ADVISORY CORP.|300 E. LONG LAKE RD., SUITE 275||BLOOMFIELD HILLS MI 48304|USA|||  ||TIMOTHY J. WATTS|(248)645-1930|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/25/2002|0|0|0|0|0|0
Midwest Regional Office| 119485|801-61152|EXECUTIVE FINANCIAL PLANNING|EXECUTIVE ASSET MANAGEMENT, INC.|135 W. NORTH STREET||BRIGHTON MI 48116|USA|||  ||NANETTE MUNTIN|810-229-6446|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|05/10/2002|0|0|0|0|0|0
Midwest Regional Office| 119656|801-61048|CENTER POINT CONSULTING, LLC|CENTER POINT CONSULTING, LLC|56 N. MAIN STREET||ZIONSVILLE IN 46077|USA|P.O. BOX 280||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|APPROVED|04/08/2002|0|0|0|0|0|0
Midwest Regional Office| 119695|801-64485|CONSOLIDATED FINANCIAL|CONSOLIDATED FINANCIAL MANAGEMENT GROUP, LLC|270 BRADENTON AVE|SUITE 120|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
Midwest 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
Midwest Regional Office| 119812|801-63582|APEX INVESTMENT MANAGEMENT, LLC|APEX INVESTMENT MANAGEMENT, LLC|347 MIDWAY BLVD|SUITE 201|ELYRIA OH 44035|USA|||  ||EDWARD J. BAKER|(440) 324-7577|Limited Liability Company|Financial 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
Midwest 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
Midwest 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
Midwest Regional Office| 119901|801-61633|RITTER DANIHER FINANCIAL ADVISORY, LLC|RITTER DANIHER FINANCIAL ADVISORY, LLC|7527-C 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
Midwest Regional Office| 119903|801-64202|MAINSTREET FINANCIAL ADVISORS, LLC|MAINSTREET FINANCIAL ADVISORS, LLC|1350 W. CENTRE AVENUE|SUITE 200|PORTAGE MI 49024|USA|||  ||RANDALL J. VERLIN, CFP|269-492-9701|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|04/28/2005|0|0|0|0|0|0
Midwest Regional Office| 119969|801-63876|FINANCIAL COUNSELING, INC.|FINANCIAL COUNSELING, INC.|7811 MAD RIVER RD.||CENTERVILLE OH 45459|USA|||  ||STEVAN M. VAUGHAN|(937) 439-4595|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|04/05/2005|0|0|0|0|0|0
Midwest Regional Office| 120006|801-61019|BPS CAPITAL MANAGEMENT, INC.|BPS CAPITAL MANAGEMENT, INC.|7900 INTERNATIONAL DRIVE|SUITE 1050|BLOOMINGTON MN 55425|USA|||  ||KIMBERLY A. BREMSETH|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
Midwest 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
Midwest Regional Office| 120225|801-62170|THE MUTUAL FUND STORE|THE MUTUAL FUND STORE-SAINT LOUIS, LLC|355 OZARK TRAIL DRIVE|SUITE 4|ELLISVILLE MO 63011|USA|||  ||CHRISTOPHER R. BRAUDIS|636-386-6868|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)|APPROVED|06/20/2003|0|0|0|0|0|0
Midwest Regional Office| 120296|801-61106|FAIRWAY WEALTH MANAGEMENT LLC|FAIRWAY WEALTH MANAGEMENT LLC|1991 CROCKER RD.|SUITE 440|WESTLAKE OH 44145|USA|||  ||MARK WEISKIND|(440) 808-3770|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/07/2002|0|0|0|0|0|0
Midwest Regional Office| 120338|801-61115|EVANSTON CAPITAL MANAGEMENT, LLC|EVANSTON CAPITAL MANAGEMENT, LLC|1560 SHERMAN AVENUE, SUITE 1255||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, Other|APPROVED|05/02/2002|0|0|0|0|0|0
Midwest Regional Office| 120339|801-61485|HICKORY POINT BANK & TRUST, FSB|HICKORY POINT BANK & TRUST, FSB|225 NORTH WATER STREET||DECATUR IL 62523|USA|P.O. BOX 2548||DECATUR IL 62525-2548|USA|VERNON A. MERCIER|217-875-3131|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|10/21/2002|5|0|0|0|0|0
Midwest 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
Midwest 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|0|0|0|0
Midwest Regional Office| 120533|801-61183|PATTON FUND MANAGEMENT, INC.|PATTON FUND MANAGEMENT, INC.|2910 MARKET TOWER|10 WEST MARKET STREET|INDIANAPOLIS IN 46204|USA|||  ||MICHELE L. WILSON|(317) 630-3232|Corporation|Portfolio management for individuals and/or small businesses, Other|APPROVED|05/23/2002|0|0|0|0|0|0
Midwest Regional Office| 120641|801-61249|BEACON CAPITAL MANAGEMENT, INC.|BEACON CAPITAL MANAGEMENT, INC.|14 WEST FIRST STREET|SUITE 302|DAYTON OH 45402|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
Midwest 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
Midwest Regional Office| 120654|801-61207|SIGNAL CAPITAL MANAGEMENT,INC.|SIGNAL CAPITAL MANAGEMENT,INC.|ONE MAIN STREET|3RD FLOOR|EVANSVILLE IN 47708|USA|||  ||DAVID KELLER|812-464-1326|Corporation|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|05/28/2002|0|0|0|0|0|0
Midwest 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
Midwest 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|APPROVED|07/03/2002|0|0|0|0|0|0
Midwest Regional Office| 120822|801-63336|ASCEND ADVISORY GROUP|ASCEND ADVISORY GROUP LLC|7600 OLENTANGY RIVER ROAD|SUITE 200|COLUMBUS OH 43235|USA|||  ||LISA R. HUNTER|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), Pension consulting services, Selection of other advisers|APPROVED|07/14/2004|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 120851|801-63323|ENTRUST,INCORPORATED|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
Midwest 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
Midwest 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
Midwest 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), Publication of periodicals or newsletters|APPROVED|01/03/2005|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 121085|801-61240|ACCREDITED INVESTOR SERVICES, INC.|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
Midwest Regional Office| 121100|801-61314|TIMELESS INVESTMENT MANAGEMENT & RESEARCH|TIMELESS INVESTMENT MANAGEMENT & RESEARCH, LLC|150 NORTH MICHIGAN AVENUE|32 FLOOR|CHICAGO IL 60601|USA|||  ||PATRICK J. WOLCOTT|312.233.9932|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/11/2002|0|0|0|0|0|0
Midwest Regional Office| 121124|801-61409|PALISADE INVESTMENT ADVISORS, LLC|PALISADE INVESTMENT ADVISORS, LLC|225 SOUTH SIXTH STREET|SUITE 4110|MINNEAPOLIS MN 55402|USA|||  ||JENNIFER FISCHER|612-455-2904|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|08/01/2002|0|0|0|0|0|0
Midwest 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
Midwest 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
Midwest 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
Midwest 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)|APPROVED|08/27/2002|0|0|0|0|0|0
Midwest Regional Office| 121376|801-63305|LIFEPLAN FINANCIAL GROUP, INC.|LIFEPLAN FINANCIAL GROUP, INC.|7501 PARAGON ROAD SUITE 201||DAYTON OH 45459|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
Midwest 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
Midwest Regional Office| 121398|801-64201|THE ROSSELOT FINANCIAL GROUP, INC.|THE ROSSELOT FINANCIAL GROUP, INC.|7450 JAGER COURT||CINCINNATI OH 45320|USA|||  ||RONALD W. ROSSELOT|513-232-6500|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|04/22/2005|0|0|0|0|0|0
Midwest Regional Office| 121517|801-62762|THE MUTUAL FUND STORE|TMFS-INDIANAPOLIS, LLC|5025 E. 82ND ST., SUITE 1400||INDIANAPOLIS IN 46250-5659|USA|||  ||DENNIS PAUL SMITH|317-579-0700|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|01/30/2004|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 121629|801-61890|GENEVA INVESTMENT MANAGEMENT OF CHICAGO, LLC|GENEVA INVESTMENT MANAGEMENT OF CHICAGO, LLC|181 W. MADISON|SUITE 3750|CHICAGO IL 60602-4640|USA|||  ||THOMAS W. ULRICH|312-422-1724|Limited 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|03/17/2003|0|1|0|0|0|0
Midwest Regional Office| 121633|801-61401|MFB FINANCIAL|MFB FINANCIAL|4100 EDISON LAKES PARKWAY|SUITE 300|MISHAWAKA IN 46545-3465|USA|||  ||MARTHA B. WARGO|574-273-7611|Corporation|Financial planning 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|09/12/2002|0|0|0|0|0|0
Midwest Regional Office| 121658|801-61324|FUND EVALUATION GROUP, LLC|FUND EVALUATION GROUP, LLC|205 WEST FOURTH STREET|SUITE 810|CINCINNATI OH 45202|USA|||  ||SCOTT B. HARSH|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
Midwest 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
Midwest Regional Office| 121712|801-61335|LOWERY ASSET CONSULTING, LLC|LOWERY ASSET CONSULTING, LLC|20 NORTH WACKER DRIVE, SUITE 1836||CHICAGO IL 60606|USA|||  ||WILLIAM G. LOWERY|(312) 759-2314|Limited Liability Company|Pension consulting services, Selection of other advisers, Other|APPROVED|08/06/2002|0|0|0|0|0|0
Midwest 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|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
Midwest 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
Midwest 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, Other|APPROVED|10/29/2004|0|0|0|0|0|0
Midwest 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 COWAN|816-340-3335|Corporation|Financial planning services|APPROVED|09/04/2002|0|3|0|0|0|0
Midwest 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
Midwest Regional Office| 121978|801-62548|WORLEY FINANCIAL GROUP|WORLEY FINANCIAL GROUP, INC.|3500 DEPAUW BLVD|#1035|INDIANAPOLIS IN 46268|USA|||  ||BONNIE STRUCK|317-872-5090|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Publication of periodicals or newsletters|APPROVED|01/02/2004|0|0|0|0|0|0
Midwest 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|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|10/15/2003|0|1|0|0|0|0
Midwest 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
Midwest Regional Office| 122020|801-61533|PINNACLE FUND MANAGEMENT, INC.|PINNACLE FUND 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 businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|10/15/2002|0|0|0|0|0|0
Midwest Regional Office| 122064|801-61387|INVESTMENT CONSULTING SERVICES, LLC|INVESTMENT CONSULTING SERVICES, LLC|2211 YORK ROAD|SUITE 203|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
Midwest Regional Office| 122082|801-61898|USA WEALTH MANAGEMENT LLC|USA WEALTH MANAGEMENT LLC|55 CAMPAU AVENUE NW|SUITE 50|GRAND RAPIDS MI 49503-2642|USA|||  ||DENNIS C. TUBBERGEN|800-553-7526|Limited Liability Company|Financial 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, Market timing services|APPROVED|04/03/2003|2|0|0|0|0|0
Midwest Regional Office| 122170|801-62912|RICHARD L. EVANS INVESTMENTS|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, Publication of periodicals or newsletters|APPROVED|04/06/2004|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 122222|801-61408|PROXYVOTE PLUS, LLC|PROXYVOTE PLUS, LLC|TWO NORTHFIELD PLAZA|SUITE 211|NORTHFIELD IL 60093|USA|||  ||CRAIG ROSENBERG|847 501-4035, EXT. 13|Limited Liability Company|Pension consulting services, Other|APPROVED|08/19/2002|0|0|0|0|0|0
Midwest Regional Office| 122231|801-61405|KING DODSON FINANCIAL ADVISORS, INC.|KING DODSON ARMSTRONG FINANCIAL ADVISORS, INC.|3650 OLENTANGY RIVER ROAD|SUITE 400|COLUMBUS OH 43214|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
Midwest Regional Office| 122266|801-61372|WINDSOR ADVISORY GROUP, LLC|WINDSOR ADVISORY GROUP, LLC|21 W. BROAD STREET|3RD FLOOR|COLUMBUS OH 43215-4100|USA|||  ||JOSEPH S. DAVIES|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
Midwest 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
Midwest 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
Midwest Regional Office| 122479|801-64199|FO INVESTMENTS, LLC|FO INVESTMENTS, LLC|6273 FRANK AVENUE NW||NORTH CANTON OH 44720|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
Midwest Regional Office| 122513|801-62447|LEHMAN, J.F.|LEHMAN, JOHN FREEMAN|112B WEST WACKERLY RD.||MIDLAND MI 48640|USA|||  ||DANIEL R LASHUAY|989-832-2522|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|10/21/2003|0|0|0|0|0|0
Midwest Regional Office| 122517|801-61404|BRANTLEY CAPITAL MANAGEMENT, LLC|BRANTLEY CAPITAL MANAGEMENT, LLC|3201 ENTERPRISE PARKWAY|SUITE 350|BEACHWOOD OH 44122|USA|||  ||ROBERT P. PINKAS|216-464-8400|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|09/27/2002|0|0|0|0|0|0
Midwest Regional Office| 122547|801-64192|SONAS FINANCIAL GROUP, INC.|SONAS FINANCIAL GROUP, INC.|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
Midwest Regional Office| 122555|801-62174|DISABATO ASSOCIATES, INC.|DISABATO ASSOCIATES, INC.|ONE IBM PLAZA|SUITE 2801|CHICAGO IL 60611|USA|||  ||TED L. DISABATO|(312) 494-7760|Corporation|Pension consulting services|APPROVED|07/08/2003|0|0|0|0|0|0
Midwest Regional Office| 122593|801-64503|FINANCIAL RESOURCES|FINANCIAL RESOURCES TAX AND FINANCIAL CONSULTING SERVICES, INC.|803 WEST BIG BEAVER RD.|SUITE 100|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), Selection of other advisers, Market timing services|APPROVED|08/02/2005|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 122641|801-65036|HARMAN INVESTMENT ADVISORS|HARMAN INVESTMENT ADVISORS INCORPORATED|20 NORTH WACKER DRIVE|SUITE 3310|CHICAGO IL 60606-3102|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
Midwest Regional Office| 122658|801-64580|WEBB FINANCIAL ADVISORS|WEBB, DAVID STAUFFER|320 N. MERIDIAN STREET|SUITE 105|INDIANAPOLIS IN 46204|USA|||  ||KARA HIESER|(317)951-8799|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|08/12/2005|0|0|0|0|0|0
Midwest Regional Office| 122709|801-64601|SKINNER FINANCIAL SERVICES|SKINNER FINANCIAL SERVICES, INC.|1910 ST. JOE CENTER ROAD|SUITE 55|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
Midwest 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|APPROVED|04/25/2005|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 122758|801-63261|RETIREMENT PLAN ADVISORS, LLC|RETIREMENT PLAN ADVISORS, LLC|105 WEST ADAMS|SUITE 2125|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
Midwest Regional Office| 122768|801-63573|PATHFINDER ADVISORY, INC.|PATHFINDER ADVISORY, 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
Midwest Regional Office| 122773|801-61468|CONTEGO ALTERNATIVE ASSETS, LLC|CONTEGO ALTERNATIVE ASSETS, LLC|321 N. CLARK ST.|SUITE 825|CHICAGO IL 60610|USA|||  ||DAVID F. SCHINK|312-376-1007|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|09/20/2002|0|1|0|0|0|0
Midwest Regional Office| 122820|801-64674|SOUND FINANCIAL REPORTS|MICHELOTTI, CARMEN PETER|1255 NORTH SANDBURG TERRACE,|SUITE 2612|CHICAGO IL 60610-8287|USA|||  ||CARMEN PETER MICHELOTTI|(312) 337-3101|Sole Proprietorship|Other|APPROVED|10/13/2005|0|0|0|0|0|0
Midwest 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
Midwest 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|||  ||CAROLE COHEN|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
Midwest Regional Office| 123043|801-61929|STEVENS PORTFOLIO DESIGN LLC|STEVENS PORTFOLIO DESIGN LLC|861 FOUNTAIN VIEW DRIVE||DEERFIELD IL 60015|USA|||  ||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
Midwest Regional Office| 123047|801-64587|REHMANN FINANCIAL|REHMANN CAPITAL ADVISORY GROUP, LLC|4086 LEGACY PARKWAY||LANSING MI 48911|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
Midwest 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
Midwest 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
Midwest Regional Office| 123176|801-64556|MENTOR CAPITAL MANAGEMENT INC.|MENTOR CAPITAL MANAGEMENT INC.|105 S. YORK ST.|SUITE 450|ELMHURST IL 60126|USA|||  ||JOHN S. 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
Midwest Regional Office| 123230|801-62483|KRD FINANCIAL, LLC|KRD FINANCIAL, LLC|1101 PERIMETER DRIVE|SUITE 730|SCHAUMBURG IL 60173|USA|||  ||ALLEN I. KUTCHINS|847-240-1040|Limited Liability Company|Financial planning services, Portfolio management for 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
Midwest 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) 289-7550|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/01/2006|0|0|0|0|0|0
Midwest 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
Midwest 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
Midwest 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
Midwest 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|||  ||J. MICHAEL ABBOTT|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
Midwest 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
Midwest Regional Office| 123452|801-62584|WILLMS ANDERSON, S.C.|WILLMS ANDERSON, S.C.|414 N. MAIN STREET||THIENSVILLE WI 53092|USA|||  ||JAMES HENNICK|262-238-6996|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|04/29/2004|0|0|0|0|0|0
Midwest Regional Office| 123501|801-61528|BAKER 500|BAKER 500 CORPORATION|601 CARLSON PKWY, SUITE 1050||MINNETONKA MN 55305|USA|||  ||L. EDWARD BAKER|952-449-6678|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|10/11/2002|0|0|0|0|0|0
Midwest 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|APPROVED|02/12/2004|0|0|0|0|0|0
Midwest Regional Office| 123602|801-63670|PLAN SPONSOR ADVISORS|PLAN SPONSOR ADVISORS, LLC|111 W WASHINGTON ST.|SUITE 1560|CHICAGO IL 60602|USA|||  ||JENNIFER FLODIN|312-214-1500|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|APPROVED|01/12/2005|0|0|0|0|0|0
Midwest 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
Midwest 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
Midwest 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
Midwest Regional Office| 123805|801-64011|LCV FINANCIAL ADVISORS, LTD.|LCV FINANCIAL ADVISORS, LTD.|1111 S. ALPINE ROAD, SUITE 503||ROCKFORD IL 61108|USA|||  ||SCOT P. ROCHE|815 399-7700|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|03/25/2005|0|0|0|0|0|0
Midwest Regional Office| 123807|801-65901|GASAWAY INVESTMENT ADVISORS, INC.|GASAWAY INVESTMENT ADVISORS, INC.|1300 WEST CENTRE AVENUE|SUITE 100|PORTAGE MI 49002|USA|||  ||JAMES E. 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
Midwest Regional Office| 123849|801-61625|COOPER MANAGEMENT SERVICE, INC.|COOPER MANAGEMENT SERVICE, INC.|106 WEST VINE STREET,SUITE 700||LEXINGTON KY 40507|USA|||  ||WILLIAM COOPER|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
Midwest 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
Midwest 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
Midwest Regional Office| 124174|801-62115|COLUMBIA ASSET MANAGEMENT, L.L.C.|COLUMBIA ASSET MANAGEMENT, L.L.C.|202 E. WASHINGTON ST.|SUITE 500|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
Midwest 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
Midwest Regional Office| 124281|801-64585|DICKMEYER-BOYCE FINANCIAL MANAGEMENT|DICKMEYER-BOYCE FINANCIAL MANAGMENT, 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, Pension consulting services|APPROVED|08/11/2005|0|0|0|0|0|0
Midwest 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|Financial planning services, 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|1|0|0|0|0
Midwest Regional Office| 124407|801-62074|HUSCH FAMILY OFFICE, LLC|HUSCH FAMILY OFFICE, LLC|1200 MAIN STREET, SUITE 2300||KANSAS CITY MO 64105-2100|USA|||  ||TERRI M. KIRLEY|816-283-4603|Limited Liability Company|Selection of other advisers, Other|APPROVED|05/28/2003|0|0|0|0|0|0
Midwest Regional Office| 124438|801-62819|CFG REGISTERED INVESTMENT ADVISORS|CASCADE ASSET MANAGERS, LLC|607 CASCADE WEST PARKWAY||GRAND RAPIDS MI 49546-2158|USA|||  ||VALERIE J, HOLCOMB|616-575-2020 X102|Limited 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
Midwest 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), Selection of other advisers|APPROVED|04/20/2005|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 124489|801-64489|MILLER CAPITAL PARTNERS|MILLER CAPITAL PARTNERS, INC.|33 BLOOMFIELD HILLS PARKWAY|SUITE 100, 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, Selection of other advisers, Other|APPROVED|07/15/2005|0|0|0|0|0|0
Midwest Regional Office| 124647|801-61709|LODESTAR INVESTMENT COUNSEL, LLC|LODESTAR INVESTMENT COUNSEL, LLC|208 S. LASALLE STREET||CHICAGO IL 60604|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
Midwest Regional Office| 124674|801-61770|ANCORA ADVISORS LLC|ANCORA ADVISORS LLC|2000 AUBURN DRIVE|SUITE 430|BEACHWOOD OH 44122|USA|||  ||RICHARD BARONE|216-825-4000|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies|APPROVED|01/30/2003|0|0|0|0|0|0
Midwest Regional Office| 124687|801-61757|LEHMAN BROTHERS ASSET MANAGEMENT LLC|LEHMAN BROTHERS ASSET MANAGEMENT LLC|200 SOUTH WACKER DRIVE|SUITE 2100|CHICAGO IL 60606|USA|||  ||LORI LOFTUS|312 559 2880|Limited Liability Company|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
Midwest Regional Office| 124697|801-62694|MCSHERRYASSOCIATES|MCSHERRYASSOCIATES 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
Midwest Regional Office| 124786|801-63345|MID-STATES INVESTMENT SOLUTIONS LLC|MID-STATES INVESTMENT 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
Midwest Regional Office| 124796|801-62305|VERUS INVESTMENT MANAGEMENT,L.L.C.|VERUS INVESTMENT MANAGEMENT,L.L.C.|22901 MILLCREEK BOULEVARD|6TH FLOOR|HIGHLAND HILLS OH 44122|USA|||  ||THOMAS J. BARTOS|216-765-1722|Limited Liability Company|Other|APPROVED|08/21/2003|0|0|0|0|0|0
Midwest Regional Office| 124805|801-62693|PROFESSIONAL ANALYSTS, LLC|PROFESSIONAL ANALYSTS, LLC|2500 MIDLAND RD||BAY CITY MI 48706|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
Midwest 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|||  ||GARY 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
Midwest Regional Office| 124829|801-61754|CB INVESTMENT MANAGERS, LLC|CB INVESTMENT MANAGERS, LLC|300 W VINE ST||LEXINGTON KY 40507-1621|USA|P.O. BOX 1360||LEXINGTON KY 40588-1360|USA|R. KEVIN STORTZUM|859 253-6248|Limited Liability Company|Portfolio management for investment companies|APPROVED|01/31/2003|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 124893|801-63106|MAYFIELDGENTRY REALTY ADVISORS,INC.|MAYFIELDGENTRY REALTY ADVISORS,INC.|535 GRISWOLD STREET|SUITE 1300|DETROIT MI 48226-3690|USA|||  ||CHAUNCEY CLARENCE MAYFIELD|313-961-5271|Corporation|Other|APPROVED|04/29/2004|0|0|0|0|0|0
Midwest Regional Office| 124897|801-63428|LUTHMAN FINANCIAL MANAGEMENT & INVESTMENT COMPANY, LLC|LUTHMAN FINANCIAL MANAGEMENT & INVESTMENT COMPANY, LLC|202 EAST SCHANTZ AVE.||DAYTON OH 45409|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
Midwest 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
Midwest 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
Midwest 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), Other|APPROVED|12/18/2002|0|0|0|0|0|0
Midwest 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
Midwest 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
Midwest 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
Midwest 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, Selection of other advisers|APPROVED|01/03/2005|0|1|0|0|0|0
Midwest Regional Office| 125147|801-63813|SPECTRUM FINANCIAL ALLIANCE, LTD.,LLC|SPECTRUM FINANCIAL ALLIANCE, LTD.,LLC|105 WIND HAVEN DRIVE||NICHOLASVILLE KY 40356|USA|||  ||BARRY W. NORFLEET|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), Pension consulting services, Other|APPROVED|01/27/2005|0|0|0|0|0|0
Midwest Regional Office| 125218|801-62068|FINANCIAL SOLUTIONS ADVISORY GROUP|FINANCIAL SOLUTIONS ADVISORY GROUP, INC.|8700 W. BRYN MAWR AVENUE, SUITE 710-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
Midwest 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
Midwest 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
Midwest Regional Office| 125309|801-66040|SOLIDIAN MANAGEMENT, L.L.C.|SOLIDIAN MANAGEMENT, L.L.C.|127 RED BARN LANE||NORTHFIELD IL 60093-3144|USA|||  ||BYRON B. JOLLY|888-333-9950|Limited Liability Company|Other|APPROVED|02/01/2006|0|2|0|0|0|0
Midwest 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
Midwest Regional Office| 125446|801-61964|FTJ FUNDCHOICE, LLC|FTJ FUNDCHOICE, LLC|3029 DIXIE HIGHWAY, SUITE 203||EDGEWOOD KY 41017|USA|||  ||DAVID DUNSIRE|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
Midwest 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, Market timing services|APPROVED|03/14/2003|0|0|0|0|0|0
Midwest Regional Office| 125481|801-61858|ANALYTICAL PORTFOLIO SOLUTIONS, LLC|ANALYTICAL PORTFOLIO SOLUTIONS, LLC|3530 BELMONT AVENUE #2||YOUNGSTOWN OH 44505|USA|||  ||JUDITH DEMARCO|330-759-4499|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Other|APPROVED|02/28/2003|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 125557|801-61862|MBO CLEARY ADVISORS INC.|MBO CLEARY ADVISORS INC.|100 EAST WISCONSIN AVENUE||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
Midwest Regional Office| 125601|801-61851|POWER SHARES|POWER SHARES CAPITAL MANAGEMENT LLC|855 W. PRAIRIE AVENUE||WHEATON IL 60187|USA|||  ||HAROLD B. BOND|630-933-9600|Limited Liability Company|Portfolio management for investment companies|APPROVED|03/07/2003|0|0|0|0|0|0
Midwest Regional Office| 125680|801-61876|CANTERBURY FINANCIAL GROUP, LLC|CANTERBURY FINANCIAL GROUP, 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
Midwest Regional Office| 125901|801-62631|SIERRA FINANCIAL ADVISORS|GREG JOHN DILLMANN|1111 E. WARRENVILLE RD.|SUITE 216|NAPERVILLE IL 60563|USA|||  ||ROBERT|6305771470|Sole Proprietorship|Market timing services|APPROVED|01/20/2004|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 126153|801-62153|LAWTON ASSET MANAGEMENT, INC|LAWTON ASSET MANAGEMENT, INC|2031 NORTH SEDGWICK STREET||CHICAGO IL 60614|USA|||  ||MARIE LAWTON|(773)404-2266|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
Midwest Regional Office| 126214|801-62092|STABLE WEALTH MANAGEMENT|STABLE WEALTH MANAGEMENT|3600 W. 80TH ST. SUITE 460||BLOOMINGTON MN 55431|USA|||  ||THOMAS LEE MENZEL|952.893.5565|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/28/2003|0|0|0|0|0|0
Midwest Regional Office| 126451|801-62065|STEWARD CAPITAL ADVISORS, LLC|STEWARD CAPITAL ADVISORS, 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
Midwest Regional Office| 126506|801-62057|DIX AND COMPANY, PC|DIX AND COMPANY, PC|1540 S 3RD STREET STE B||TERRE HAUTE IN 47802|USA|||  ||GERALD DIX|812-232-9800|Corporation|Financial planning services|APPROVED|05/20/2003|0|0|0|0|0|0
Midwest 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
Midwest 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
Midwest 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
Midwest 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
Midwest 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
Midwest 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|1|0|0|0|0
Midwest Regional Office| 127081|801-66123|BROKERSXPRESS LLC|BROKERSXPRESS LLC|39 S LASALLE ST. SUITE 220||CHICAGO IL 60603-1608|USA|||  ||BLAINE SCHWARTZ|312-630-3300|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)|APPROVED|02/17/2006|0|1|0|0|0|0
Midwest Regional Office| 127134|801-62187|FOUNDATION WEALTH MANAGEMENT, LLC|FOUNDATION WEALTH MANAGEMENT, LLC|8000 MARYLAND AVENUE|SUITE 620|CLAYTON MO 63105|USA|||  ||SHAUNDRA S. HUEBNER|314-726-6789|Limited Liability Company|Financial planning services, 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|0|0|0|0|0
Midwest Regional Office| 127158|801-62140|BTC CAPITAL MANAGEMENT|MIDAMERICA INVESTMENT ADVISORY GROUP,INC.|453 7TH STREET||DES MOINES IA 50309-3702|USA|||  ||MARY PITCHER|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
Midwest 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
Midwest 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|Financial planning services, 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|0|0|0|0|0
Midwest Regional Office| 127364|801-62202|APPLE HILL CONSULTING, INC.|APPLE HILL CONSULTING, INC.|303 N. SECOND ST.|SUITE 24|ST. CHARLES IL 60174|USA|||  ||CRAIG LARSEN|630-762-8185|Corporation|Pension consulting services, Selection of other advisers|APPROVED|07/07/2003|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 127401|801-63408|STRAIGHTLINE|STRAIGHTLINE GROUP, L.L.C|165 KIRTS BLVD.|STE 300|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|0|0|0|0|0
Midwest 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
Midwest Regional Office| 127554|801-62273|LANDERNORTH ASSET MANAGEMENT, LLC|LANDERNORTH ASSET MANAGEMENT, LLC|3201 ENTERPRISE PARKWAY|SUITE 350|BEACHWOOD OH 44122|USA|||  ||MICHAEL J. FINN|216-464-8400|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/08/2003|0|0|0|0|0|0
Midwest Regional Office| 127590|801-62384|BLACK RIVER ASSET MANAGEMENT LLC|BLACK RIVER ASSET MANAGEMENT LLC|12700 WHITEWATER DRIVE||MINNETONKA MN 55343|USA|||  ||ROBERT BEACH|952-984-3798|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/29/2003|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 127657|801-62221|THE JOHN BUCK COMPANY|BUCK ADVISORY LLC|ONE NORTH WACKER, SUITE 2400|UBS TOWER|CHICAGO IL 60606|USA|||  ||JEANNE GETTEMY|312-441-4118|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/31/2003|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 127880|801-62239|KOVITZ INVESTMENT GROUP, LLC|KOVITZ INVESTMENT GROUP, LLC|222 WEST ADAMS, SUITE 2160||CHICAGO IL 60606|USA|||  ||MARC S. BRENNER|(312) 334-7302|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/22/2003|0|1|0|0|0|0
Midwest Regional Office| 127890|801-62365|CROSSWATER|CROSSWATER INVESTMENT ADVISORS, INC.|315 EAST LAKE STREET|SUITE 100|WAYZATA MN 55391|USA|||  ||MICHAEL RINGGER|425-463-1152|Corporation|Financial planning services, Portfolio management for 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
Midwest 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
Midwest 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|STUART T. MEACHAM|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
Midwest Regional Office| 127987|801-63505|ANNEX ADVISORY SERVICES, 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|1|0|0|0|0
Midwest Regional Office| 128044|801-62359|BUSEY CAPITAL MANAGEMENT, INC.|BUSEY CAPITAL MANAGEMENT, INC.|502 WEST WINDSOR ROAD||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
Midwest Regional Office| 128046|801-64832|RITCHIE CAPITAL MANAGEMENT, L.L.C.|RITCHIE CAPITAL MANAGEMENT, L.L.C.|2100 ENTERPRISE AVENUE||GENEVA IL 60134|USA|||  ||JAMES G. RICKARDS|630-845-5730|Limited Liability Company|Selection of other advisers, Other|APPROVED|11/16/2005|0|0|1|0|0|0
Midwest Regional Office| 128081|801-62323|IBBOTSON ASSOCIATES ADVISORS, LLC|IBBOTSON ASSOCIATES ADVISORS, LLC|225 N. MICHIGAN AVE|SUITE 700|CHICAGO IL 60601-7676|USA|||  ||DOREEN MITCHELL|312-616-1620|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
Midwest Regional Office| 128215|801-62317|EICHNER INVESTMENT PLANNING, LLC|EICHNER INVESTMENT PLANNING, LLC|7577 CENTRAL PARKE BLVD.|SUITE 206|MASON OH 45040|USA|||  ||ALAN EICHNER|513-229-0230|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|09/24/2003|0|0|0|0|0|0
Midwest 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|Financial planning 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|03/04/2004|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 128314|801-62666|TRADITION WEALTH MANAGEMENT LLC|TRADITION WEALTH MANAGEMENT LLC|6800 FRANCE AVENUE SOUTH|SUITE 310|EDINA MN 55435|USA|||  ||CHRISTOPHER REVAK|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
Midwest 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
Midwest 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
Midwest Regional Office| 128785|801-62474|CHARLES H. THOMPSON, CPA|CHARLES HAROLD THOMPSON|8358 SOMERVILLE DR||INDIANAPOLIS IN 46216|USA|||  ||CHARLES H. THOMPSON|317-541-1225|Limited Liability Company|Financial planning services, Portfolio management for investment companies, Selection of other advisers|APPROVED|11/10/2003|0|0|0|0|0|0
Midwest 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|Financial planning services, 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|0|1|0|0|0
Midwest 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
Midwest Regional Office| 128980|801-62486|VMF CAPITAL|WB CAPITAL MANAGEMENT INC.|118 3RD AVENUE S.E. SUITE 700||CEDAR RAPIDS IA 52401|USA|||  ||DOUGLAS RAY GULLING|(515) 222-2309|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|10/01/2003|0|0|0|0|0|0
Midwest 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
Midwest 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
Midwest Regional Office| 129096|801-62675|CAMBRIDGE RETIREMENT ADVISORS|CAMBRIDGE RETIREMENT ADVISORS|1776 PLEASANT PLAIN RD.||FAIRFIELD IA 52556-8757|USA|||  ||MARCIA L. MARTIN|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)|APPROVED|01/16/2004|0|0|0|0|0|0
Midwest 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 individuals and/or small businesses, Portfolio management for investment companies, Selection of other advisers, Other|APPROVED|11/17/2003|0|0|0|0|0|0
Midwest Regional Office| 129314|801-64425|THE RATIONAL INVESTOR ADVISORS, LLC|THE RATIONAL INVESTOR ADVISORS, LLC|222 SOUTH NINTH STREET|SUITE 2915|MINNEAPOLIS MN 55402|USA|||  ||JAMES J. DLUGOSCH|612-332-0249|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies|APPROVED|06/17/2005|0|0|0|0|0|0
Midwest 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|APPROVED|03/09/2006|0|0|0|0|0|0
Midwest Regional Office| 129419|801-62645|BNR PARTNERS, LLC|BNR PARTNERS, LLC|1 NORTH FRANKLIN|STE 2540|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
Midwest 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, Other|APPROVED|01/02/2004|1|2|2|0|0|0
Midwest Regional Office| 129447|801-62603|PILLAR INVESTMENTS & COMPANY|PILLAR INVESTMENTS & COMPANY|W270 N2588 ORCHRD LANE||PEWAUKEE WI 53072|USA|||  ||MARY PAZDERNIK|262-695-4615|Corporation|Financial planning services, Publication of periodicals or newsletters, Other|APPROVED|02/06/2004|0|0|0|0|0|0
Midwest Regional Office| 129609|801-62562|THOMPSON INVESTMENT MANAGEMENT, LLC|THOMPSON INVESTMENT MANAGEMENT, LLC|1200 JOHN Q. HAMMONS DRIVE,|5TH FLOOR|MADISON WI 53717|USA|||  ||PENNY HUBBARD|(608)827-5700|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|12/05/2003|0|0|0|0|0|0
Midwest Regional Office| 129679|801-62586|DEAN FINANCIAL SERVICES|DEAN FINANCIAL SERVICES, LLC|2480 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|APPROVED|01/02/2004|0|3|0|0|0|0
Midwest Regional Office| 129929|801-63701|UPPER QUADRANTS CAPITAL MANAGEMENT, LLC|UPPER QUADRANTS CAPITAL MANAGEMENT, LLC|5701 BLOOMFIELD DRIVE SW||GRANDVILLE MI 49418-3343|USA|||  ||JAMES H. STANLEY|(616) 457-1900|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|APPROVED-120|11/04/2005|0|0|0|0|0|0
Midwest 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
Midwest 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|APPROVED|01/14/2004|0|0|0|0|0|0
Midwest 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, Selection of other advisers|APPROVED|04/08/2004|0|0|0|0|0|0
Midwest Regional Office| 130093|801-63268|MICHAEL BRADY & CO., LLC|MICHAEL BRADY & CO., LLC|8348 OLD POST ROAD||OLMSTED FALLS OH 44138|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
Midwest 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
Midwest Regional Office| 130154|801-66134|THE MUTUAL FUND STORE|SCHIEBER FINANCIAL GROUP|9402 TOWNE SQUARE AVE.|SUITE D|BLUE ASH OH 45242|USA|||  ||PAUL G. ODIOSO|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
Midwest Regional Office| 130198|801-62718|OPPORTUNITY REAL ESTATE GROUP|ORG HOLDINGS, LIMITED|3733 PARK EAST DRIVE|SUITE 210|BEACHWOOD OH 44122|USA|||  ||JEFF MUENCZ|216-468-0055|Limited Liability Company|Pension consulting services|APPROVED|02/20/2004|0|0|0|0|0|0
Midwest Regional Office| 130372|801-62765|MCF ADVISORS, LLC|MCF ADVISORS, LLC|100 E. RIVERCENTER BLVD.,|SUITE 450|COVINGTON KY 41011|USA|||  ||DAVID L. HARRIS|859-392-8600|Limited Liability Company|Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|02/06/2004|0|0|0|0|0|0
Midwest Regional Office| 130450|801-62791|TWO RIVERS CAPITAL MANAGEMENT, LLC|TWO RIVERS CAPITAL MANAGEMENT, LLC|221 NORTH LASALLE STREET|SUITE 1906|CHICAGO IL 60601-1419|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), Publication of periodicals or newsletters|APPROVED|02/13/2004|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 130595|801-62921|FAMILY WEALTH ADVISORY GROUP, LLC|FAMILY WEALTH ADVISORY GROUP, LLC|7800 EAST KEMPER ROAD|SUITE 140|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
Midwest Regional Office| 130680|801-62836|CLARK CONSULTING, INC.|CLARK CONSULTING, INC.|102 SOUTH WYNSTONE PARK DRIVE||NORTH BARRINGTON IL 60010|USA|702 RUSSELL AVENUE|SUITE 410|GAITHERSBURG MD 20877|USA|EDWARD J. BOVE|301-519-0447|Corporation|Pension consulting services, Selection of other advisers, Other|APPROVED|03/04/2004|0|0|0|0|0|0
Midwest Regional Office| 130687|801-62841|FRANCIS INVESTMENT COUNSEL LLC|FRANCIS INVESTMENT COUNSEL LLC|N64 W30949 CINDY COURT||HARTLAND WI 53029|USA|||  ||MICHAEL J. FRANCIS|262-367-8401|Limited Liability Company|Other, Pension consulting services, Selection of other advisers|APPROVED|03/12/2004|0|0|0|0|0|0
Midwest 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|800-972-0371 EXT 11|Corporation|Financial planning services, Portfolio management for 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
Midwest 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
Midwest Regional Office| 130781|801-63065|OAKLAND WEALTH MANAGEMENT, INC.|OAKLAND WEALTH MANAGEMENT, INC.|24800 DENSO DRIVE|SUITE 262|SOUTHFIELD MI 48034|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
Midwest Regional Office| 130801|801-63654|TMFS CHICAGO INC. 1A THE MUTUAL FUND STORE-CHICAGO 1B|TMFS CHICAGO INC. 1A THE MUTUAL FUND STORE-CHICAGO 1B|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
Midwest 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
Midwest 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
Midwest Regional Office| 131183|801-65900|SKYLANDS CAPITAL, LLC|SKYLANDS CAPITAL, LLC|1200 NORTH MAYFAIR ROAD|SUITE 250|MILWAUKEE WI 53226|USA|||  ||PAMELA CAVANAUGH|414-256-3383|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/31/2006|0|0|0|0|0|0
Midwest 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|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), Publication of periodicals or newsletters|APPROVED|01/30/2006|0|0|0|0|0|0
Midwest Regional Office| 131344|801-63343|PHILLIPS FINANCIAL SERVICES|PHILLIPS FINANCIAL MANAGEMENT, LLC|6920 POINTE INVERNESS WAY|SUITE 230|FORT WAYNE IN 46804|USA|||  ||JOHN M. BERHENDT|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
Midwest Regional Office| 131385|801-63645|AZSURE FIDUCIARY SERVICES|CORNERSTONE FIDUCIARY INVESTMENT SERVICES, LCC|1507 BOETTLER ROAD|SUITE F|UNIONTOWN OH 44685|USA|||  ||MARK W. FEARIGO|330-896-6258|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|11/19/2004|0|0|0|0|0|0
Midwest 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|0|0|0|0|0
Midwest Regional Office| 131422|801-63854|ZENNA FINANCIAL SERVICES, LLC|ZENNA FINANCIAL SERVICES, LLC|55 W. MONROE SUITE 2360||CHICAGO IL 60603|USA|||  ||SILVIJA MARTINCEVIC|312-781-0205|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/11/2005|0|0|0|0|0|0
Midwest Regional Office| 131461|801-66284|EMERSON DANKOVICH ADVISORS, INC.|EMERSON DANKOVICH ADVISORS, INC.|901 WILSHIRE DRIVE|SUITE 350|TROY MI 48084|USA|||  ||CASEY J. BEAR|248-244-8900|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, Selection of other advisers|APPROVED|03/03/2006|0|0|0|0|0|0
Midwest Regional Office| 131559|801-63227|WADE INVESTMENTS|WADE INVESTMENTS, LLC|5500 WAYZATA BLVD|SUITE 200|MINNEAPOLIS MN 55416|USA|||  ||JERRY WADE|763-746-2883|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|06/09/2004|0|0|0|0|0|0
Midwest 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|Financial planning services, Portfolio management for 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
Midwest Regional Office| 131636|801-63577|RELATIVE VALUE PARTNERS, LLC|RELATIVE VALUE PARTNERS, LLC|1033 SKOKIE BLVD.|SUITE 150|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
Midwest Regional Office| 131668|801-63189|POEHLING CAPITAL MANAGEMENT, INC.|POEHLING CAPITAL MANAGEMENT, INC.|525 JUNCTION ROAD|SUITE 8700|MADISON WI 53717|USA|||  ||THOMAS R. POEHLING|(608) 664-9600|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
Midwest 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
Midwest Regional Office| 131802|801-64437|BLUE PRAIRIE GROUP,LLC|BLUE PRAIRIE GROUP,LLC|205 W. WACKER DRIVE|SUITE 600|CHICAGO IL 60606|USA|||  ||MATTHEW GNABASIK|312.645.1899|Limited Liability Company|Financial 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
Midwest 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
Midwest Regional Office| 131831|801-63643|CTS STRATEGIC INVESTMENTS, LLC|CTS STRATEGIC INVESTMENTS, LLC|230 S. LASALLE STREET|7TH FLOOR|CHICAGO IL 60604|USA|||  ||RICK COOPER|312-244-5477|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/17/2005|0|2|0|0|0|0
Midwest Regional Office| 131958|801-63448|VARDE MANAGEMENT INTERNATIONAL, INC.|VARDE MANAGEMENT INTERNATIONAL, INC.|8500 NORMANDALE LAKE BLVD|SUITE 1570|MINNEAPOLIS MN 55437-3813|USA|||  ||CHRISTINA M. FONDELL|952-646-2752|Corporation|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
Midwest Regional Office| 132043|801-64939|PREMIER FINANCIAL PARTNERS, LLC|PREMIER FINANCIAL PARTNERS, LLC|12655 OLIVE BLVD.|SUITE 300|ST.LOUIS MO 63141|USA|||  ||RONALD L. MARTIN, JR.|(314) 576-1166, ETX 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
Midwest 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
Midwest 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
Midwest 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
Midwest Regional Office| 132150|801-63928|JERRMAR CAPITAL MANAGEMENT, INC.|JERRMAR CAPITAL MANAGEMENT, INC.|7 WEST SQUARE LAKE ROAD||BLOOMFIELD HILLS MI 48302|USA|||  ||GERALD R. DEHONDT|248-452-5683|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|02/17/2005|0|0|0|0|0|0
Midwest Regional Office| 132237|801-63353|STILLWATER INVESTMENT MANAGEMENT, LLC|STILLWATER INVESTMENT MANAGEMENT, LLC|226 EAST MYRTLE STREET||STILLWATER MN 55082|USA|||  ||DANA J. TONREY|651-275-9380|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|07/21/2004|0|0|0|0|0|0
Midwest 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
Midwest 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
Midwest Regional Office| 132324|801-63446|QUANTUM INVESTMENT MANAGEMENT, LLC|QUANTUM INVESTMENT MANAGEMENT, LLC|220 NORTH SMITH STREET|SUITE 410|PALATINE IL 60067|USA|||  ||BRETT M. DETTERBECK|(847) 934-6262|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, Market timing services|APPROVED|11/22/2004|0|0|0|0|0|0
Midwest 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
Midwest 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
Midwest Regional Office| 132451|801-64810|TACTICAL ALLOCATION GROUP, LLC|TACTICAL ALLOCATION GROUP, LLC|322 N. OLD WOODWARD|SUITE 100|BIRMINGHAM MI 48009-9837|USA|||  ||CHRISTOPHER J SITEK|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
Midwest Regional Office| 132687|801-63585|FORESIGHT MANAGEMENT, LLC|FORESIGHT MANAGEMENT, LLC|1151 BETHEL RD., SUITE 204-B||COLUMBUS OH 43220|USA|||  ||KEITH BLANKEMEYER|614-459-3255|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|10/26/2004|0|0|0|0|0|0
Midwest 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)|APPROVED|10/08/2004|0|0|0|0|0|0
Midwest Regional Office| 132762|801-63532|DEVELOPMENTS 2000, INC.|DEVELOPMENTS 2000, INC.|1674 TEMPO LANE||ARNOLD MO 63010-1110|USA|||  ||SCOTT C GOWAN|314-414-0698|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|09/24/2004|0|0|0|0|0|0
Midwest Regional Office| 132767|801-64070|CHICAGO GROWTH PARTNERS, LLC|CHICAGO GROWTH PARTNERS, LLC|303 WEST MADISON|SUITE 2500|CHICAGO IL 60606|USA|||  ||KIMBERLY BEERBOWER|312-698-6300|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/31/2005|0|0|0|0|0|0
Midwest Regional Office| 132768|801-64069|CHICAGO GROWTH MANAGEMENT VIII, LP|CHICAGO GROWTH MANAGEMENT VIII, LP|303 WEST MADISON STREET|SUITE 2500|CHICAGO IL 60606|USA|||  ||KIMBERLY BEERBOWER|312-698-6300|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/31/2005|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 132818|801-63546|LENOX WEALTH MANAGEMENT, INC.|LENOX WEALTH MANAGEMENT, INC.|8044 MONTGOMERY ROAD|SUITE 480|CINCINNATI OH 45236|USA|||  ||JANE SCHANK|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
Midwest Regional Office| 133003|801-63590|KMI REALTY ADVISORS|KITE REALTY ADVISORS, LLC|30 SOUTH MERIDIAN STREET, SUITE 200||INDIANAPOLIS IN 46204|USA|||  ||JOHN A. KITE|317-577-5611|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
Midwest 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
Midwest 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|APPROVED|12/22/2004|0|0|0|0|0|0
Midwest 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
Midwest 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
Midwest 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
Midwest 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
Midwest Regional Office| 133358|801-63747|QUESTAR ASSET MANAGEMENT, INC.|QUESTAR ASSET MANAGEMENT, INC.|655 FAIRFIELD COURT, SUITE 200||ANN ARBOR MI 48108|USA|||  ||JOHN H. GAKENHEIMER|734/213-6000|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|12/15/2004|0|6|0|0|0|0
Midwest 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
Midwest Regional Office| 133408|801-63702|ATLAS BROWN INVESTMENT ADVISORS, INC.|ATLAS BROWN INVESTMENT ADVISORS, INC.|307 NORTH HURSTBOURNE PARKWAY|FORUM OFFICE PARK FOUR, SUITE 250|LOUISVILLE KY 40222|USA|||  ||SHAWN J. RIDLEY|502-271-2900|Corporation|Financial planning services, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|12/08/2004|0|0|0|0|0|0
Midwest Regional Office| 133423|801-63722|WCM, INC.|WCM, INC.|1200 JOHN Q. HAMMONS DRIVE, 2ND FLOOR||MADISON WI 53717|USA|POST OFFICE BOX 1788||MADISON WI 53701|USA|CONNIE M. REDMAN|(608) 824-8800|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/03/2004|0|0|0|0|0|0
Midwest 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
Midwest 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
Midwest 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|0|0|0|0|0
Midwest Regional Office| 133596|801-63776|BRAEBURN CAPITAL PARTNERS, LLC|BRAEBURN CAPITAL PARTNERS, LLC|33 BLOOMFIELD HILLS PARKWAY|SUITE 240|BLOOMFIELD HILLS MI 48304|USA|||  ||LEE CANAAN|248-220-2005|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|01/03/2005|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 133720|801-65336|PINE RIVER CAPITAL MANAGEMENT L.P.|PINE RIVER CAPITAL MANAGEMENT L.P.|800 NICOLLET MALL|SUITE 2850|MINNEAPOLIS MN 55402|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
Midwest Regional Office| 133814|801-64077|GENERAL WELFARE GROUP LLC|GENERAL WELFARE GROUP LLC|611 ENTERPRISE DRIVE||OAK BROOK IL 60523|USA|||  ||CLAY DRURY|(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
Midwest Regional Office| 133877|801-63837|PRESERVATION CAPITAL PARTNERS, LTD.|PRESERVATION CAPITAL PARTNERS, LTD.|5750 OLD ORCHARD ROAD,|SUITE 200|SKOKIE IL 60077|USA|||  ||RANDAL L. GOLDEN|847-213-2095|Corporation|Financial planning services, Portfolio management for 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
Midwest 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
Midwest Regional Office| 133959|801-63853|PIPER JAFFRAY PRIVATE CAPITAL, LLC|PIPER JAFFRAY PRIVATE CAPITAL, LLC|800 NICOLLET MALL|MAILSTOP JO9NO3|MINNEAPOLIS MN 55402|USA|||  ||SCOTT L. BARRINGTON|612/303-1110|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
Midwest 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
Midwest Regional Office| 134008|801-64792|CAPITAL CITY PARTNERS ASSET MANAGEMENT GROUP|CAPITAL CITY PARTNERS ASSET MANAGEMENT GROUP, LLC|1335 DUBLIN ROAD|SUITE 122 - D|COLUMBUS OH 43215|USA|||  ||TODD 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
Midwest 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
Midwest 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, Selection of other advisers|APPROVED|09/26/2005|0|0|0|0|0|0
Midwest Regional Office| 134139|801-63930|CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.|CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.|1776 PLEASANT PLAIN RD.||FAIRFIELD IA 52556-8757|USA|||  ||MARCIA L. MARTIN|641-472-5100|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|02/03/2005|1|3|0|0|0|0
Midwest Regional Office| 134161|801-64049|INSIGHT 2811 GP LLC|INSIGHT 2811 GP LLC|2301 W. BIG BEAVER ROAD|SUITE 620|TROY MI 48084|USA|||  ||ARTHUR E. ZASKE|(248)833-3000|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/02/2005|0|0|0|0|0|0
Midwest Regional Office| 134198|801-64025|PILOT RETIREMENT SERVICES|PILOT RETIREMENT SERVICES, LLC|4235 FAIRFIELD AVENUE||FT. WAYNE IN 46807|USA|||  ||CHRISTOPHER YEAGER|260-456-1479|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/18/2005|0|0|0|0|0|0
Midwest Regional Office| 134249|801-63939|RMB CAPITAL MANAGEMENT, LLC|RMB CAPITAL MANAGEMENT, LLC|10 SOUTH WACKER DRIVE STE. 3210||CHICAGO IL 60606|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
Midwest Regional Office| 134320|801-64170|STRENGTH CAPITAL PARTNERS, LLC|STRENGTH CAPITAL PARTNERS, LLC|555 SOUTH OLD WOODWARD AVENUE|SUITE 755|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
Midwest Regional Office| 134371|801-64040|HARCOURT CAPITAL MANAGEMENT, LLC|HARCOURT CAPITAL MANAGEMENT, LLC|100 S. BRENTWOOD BLVD|SUITE 410|ST. LOUIS MO 63105|USA|||  ||DANA BACICH|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
Midwest Regional Office| 134471|801-64000|SG CAPITAL MANAGEMENT LLC|SG CAPITAL MANAGEMENT LLC|225 WEST HUBBARD STREET|SUITE 600|CHICAGO IL 60610|USA|||  ||MEGHAN O'CALLAGHAN|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
Midwest Regional Office| 134508|801-64009|CAHILL WEALTH MANAGEMENT|CAHILL, RYAN DEVLIN|6101 NEWPORT ROAD|SUITE 207|PROTAGE MI 49002|USA|||  ||RYAN DEVLIN CAHILL|269-321-6600|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/03/2005|0|0|0|0|0|0
Midwest 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|0|0|0|0
Midwest 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
Midwest 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), Pension consulting services, Selection of other advisers, Other|APPROVED|05/12/2005|0|0|0|0|0|0
Midwest Regional Office| 135159|801-64481|EXPLORER FUND ADVISORS, LLC|EXPLORER FUND ADVISORS, LLC|303 W MADISON ST, SUITE 925||CHICAGO IL 60606|USA|||  ||K. JAMES KLEINOPS|312.324.0911|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters, Market timing services|APPROVED-120|07/18/2005|0|0|0|0|0|0
Midwest Regional Office| 135173|801-64254|ASSET MANAGEMENT STRATEGIES, INC.|ASSET MANAGEMENT STRATEGIES, INC.|10100 LANTERN ROAD|SUITE 150A|FISHERS IN 46038|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
Midwest Regional Office| 135351|801-65773|CASTLE CREEK ARBITRAGE, LLC|CASTLE CREEK ARBITRAGE, LLC|111 WEST JACKSON BLVD.|SUITE 2000|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
Midwest Regional Office| 135374|801-65192|MANSUR CAPITAL CORPORATION|MANSUR CAPITAL CORPORATION|875 N. MICHIGAN AVENUE|SUITE 3620|CHICAGO IL 60611|USA|||  ||KURT KOEPLIN|312-263-2400|Corporation|Other|APPROVED|01/12/2006|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 135414|801-64294|THOMAS MCDONALD & ASSOCIATES LLC|THOMAS MCDONALD & ASSOCIATES LLC|10494 LAKESHORE BLVD.||BRATENAHL OH 44108|USA|||  ||THOMAS M MCDONALD|216-268-0806|Limited Liability Company|Financial planning services, Portfolio management for 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
Midwest Regional Office| 135448|801-64681|STRATEGIC INVESTMENT ADVISORS, LLC|STRATEGIC INVESTMENT ADVISORS, LLC|5580 MONROE STREET||SYLVANIA OH 43560|USA|||  ||MARK KLOPFENSTEIN|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-120|08/26/2005|0|0|0|0|0|0
Midwest Regional Office| 135496|801-64323|SUMMIT CREEK ADVISORS|SUMMIT CREEK ADVISORS, LLC|4720 IDS TOWER|80 SOUTH EIGHTH STREET|MINNEAPOLIS MN 55402|USA|||  ||ANDREW OSCAR REM|612-376-9109|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/19/2005|0|0|0|0|0|0
Midwest 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 individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/23/2005|0|0|0|0|0|0
Midwest 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|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|07/07/2005|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 135622|801-64334|ZIEGLER CAPITAL MANAGEMENT, LLC|ZIEGLER CAPITAL MANAGEMENT, LLC|250 E. WISCONSIN AVENUE||MILWAUKEE WI 53202|USA|||  ||ELIZABETH A WATKINS|414/978-6493|Limited Liability Company|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
Midwest Regional Office| 135689|801-64343|WP GLOBAL PARTNERS INC.|WP GLOBAL PARTNERS INC.|30 SOUTH WACKER DRIVE|SUITE 3920|CHICAGO IL 60606|USA|||  ||SHARON MURPHY|312-277-2028|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/26/2005|0|0|0|0|0|0
Midwest 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|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/28/2005|0|0|0|0|0|0
Midwest Regional Office| 135812|801-64508|TOUCHSTONE INVESTMENT CONSULTANTS, LLC|TOUCHSTONE INVESTMENT CONSULTANTS, LLC|500 WASHINGTON AVENUE SOUTH|SUITE 2015|MINNEAPOLIS MN 55415-1151|USA|||  ||DAVID A. GUTZKE|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
Midwest 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
Midwest 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
Midwest 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-120|07/25/2005|0|0|0|0|0|0
Midwest 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, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|03/03/2006|0|0|0|0|0|0
Midwest Regional Office| 136019|801-64434|BERTHY CAPITAL MANAGEMENT, LLC|BERTHY CAPITAL MANAGEMENT, LLC|77 WEST ELMWOOD DRIVE|SUITE 301|DAYTON OH 45459-4263|USA|||  ||RICHARD J. BERTHY|937-439-1339|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
Midwest 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 businesses or institutional clients (other than investment companies), Other|APPROVED|08/30/2005|0|0|0|0|0|0
Midwest Regional Office| 136076|801-64440|VALHALLA CAPITAL PARTNERS|VALHALLA CAPITAL PARTNERS, LLC|501 S. FOURTH ST., 4TH FLOOR||LOUISVILLE KY 40202|USA|||  ||KEN L. MATHIS|502-588-1252|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|06/17/2005|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 136089|801-64471|PALISADE ASSET MANAGEMENT, LLC|PALISADE ASSET MANAGEMENT, LLC|225 SOUTH SIXTH STREET|SUITE 4110|MINNEAPOLIS MN 55402|USA|||  ||JENNIFER FISCHER|612-455-2904|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/11/2005|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 136105|801-65012|TMF CAPITAL MANAGEMENT LLC|TMF CAPITAL MANAGEMENT LLC|400 NORTH MICHIGAN AVENUE|SUITE 620|CHICAGO IL 60611|USA|||  ||MICHAEL HARRON|(312) 840-9501|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/12/2005|0|0|0|0|0|0
Midwest 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-120|09/07/2005|0|0|0|0|0|0
Midwest Regional Office| 136181|801-65991|GRACE BROTHERS MANAGEMENT, LLC|GRACE BROTHERS MANAGEMENT, LLC|1560 SHERMAN AVENUE|SUITE 900|EVANSTON IL 60201|USA|||  ||CHARLENE ZELLMER|847-733-0225|Limited Liability Company|Other|APPROVED|01/30/2006|0|0|0|0|0|0
Midwest Regional Office| 136186|801-64586|FORTRESS TRADING|FORTRESS TRADING|141 W. JACKSON BLVD|SUITE 1340 A|CHICAGO IL 60604|USA|||  ||SCOTT NATIONS|312-446-0090|Corporation|Portfolio management for investment companies, Publication of periodicals or newsletters|APPROVED-120|08/19/2005|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 136300|801-65060|KEY INVESTMENT SERVICES LLC|KEY INVESTMENT SERVICES LLC|4900 TIEDMAN RD.||BROOKLYN OH 44144|USA|||  ||GARY MAROUSEK|(216) 563-2921|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
Midwest 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 investment companies|APPROVED-120|08/12/2005|0|0|0|0|0|0
Midwest 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-120|07/28/2005|0|0|0|0|0|0
Midwest 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|Financial planning services, Pension consulting services, Selection of other advisers|APPROVED|07/28/2005|0|0|0|0|0|0
Midwest Regional Office| 136448|801-64561|GALLATIN ASSET MANAGEMENT, INC.|GALLATIN ASSET MANAGEMENT, INC.|ONE NORTH JEFFERSON||ST. LOUIS MO 63103|USA|||  ||DOUGLAS L. KELLY|314-955-3232|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), Pension consulting services, Selection of other advisers, Other|APPROVED|08/17/2005|0|0|0|0|0|0
Midwest 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|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
Midwest Regional Office| 136595|801-64761|HM CAPITAL MANAGEMENT, LLC|HM CAPITAL MANAGEMENT, LLC|8235 FORSYTHE 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|0|0|0|0|0
Midwest 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-120|08/26/2005|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 136678|801-64612|BAIRD CAPITAL PARTNERS MANAGEMENT COMPANY IV, L.L.C.|BAIRD CAPITAL PARTNERS MANAGEMENT COMPANY IV, L.L.C.|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
Midwest 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
Midwest Regional Office| 136825|801-64647|KLINE CAPITAL MANAGEMENT LLC|KLINE CAPITAL MANAGEMENT LLC|5501 W. 79TH STREET, SUITE 300||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-120|09/01/2005|0|0|0|0|0|0
Midwest Regional Office| 136853|801-64845|ENDURANCE ASSET MANAGEMENT, LLC|ENDURANCE ASSET MANAGEMENT, LLC|222 W. ADAMS|STE 2200|CHICAGO IL 60606-5399|USA|||  ||CHARLENE DOW|312-984-5865|Limited Liability Company|Other|APPROVED|11/16/2005|0|0|0|0|0|0
Midwest Regional Office| 136859|801-27505|VESTOR CAPITAL CORPORATION|VESTOR CAPITAL CORPORATION|10 S. RIVERSIDE PLAZA|SUITE 1400|CHICAGO IL 60606|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
Midwest 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
Midwest Regional Office| 136904|801-64788|H.J. UMBAUGH & ASSOCIATES|H.J. UMBAUGH & ASSOCIATES, CERTIFIED PUBLIC ACCOUNTANTS, LLP|20 EAST 91ST STREET, SUITE 100||INDIANAPOLIS IN 46240-0458|USA|20 EAST 91ST STREET/SUITE 100|P.O. BOX 40458|INDIANAPOLIS IN 46240-0458|USA|JEFF MESSER|317-844-7288|Limited Liability Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|11/14/2005|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 137053|801-64694|THE OXFORD PRIVATE CLIENT GROUP, LLC|THE OXFORD PRIVATE CLIENT GROUP, LLC|1550 UTICA AVE. S. SUITE 945||ST. LOUIS PARK MN 55416|USA|||  ||JASON BO-ALAN BECKMAN|952-258-8004|Limited Liability Company|Financial planning services, 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|10/12/2005|0|1|1|0|0|0
Midwest Regional Office| 137065|801-65146|SHEFFIELD ASSET MANAGEMENT, L.L.C.|SHEFFIELD ASSET MANAGEMENT, L.L.C.|900 NORTH MICHIGAN AVENUE|SUITE 1100|CHICAGO IL 60611|USA|||  ||BRIAN FELTZIN|312 506 6400|Limited Liability Company|Other|APPROVED|01/13/2006|0|0|0|0|0|0
Midwest 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|||  ||PATRICK J HESS|651-251-0380|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2006|0|0|0|0|0|0
Midwest Regional Office| 137115|801-64847|HARRIS INVESTOR SERVICES, INC.|HARRIS INVESTOR SERVICES, INC.|111 W. MONROE-18W||CHICAGO IL 60603|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-120|11/04/2005|0|2|0|0|0|0
Midwest Regional Office| 137146|801-65292|DIGILOG CAPITAL LLC|DIGILOG CAPITAL LLC|200 W. JACKSON|SUITE 2300|CHICAGO IL 60606|USA|||  ||TERRY REGAS|312-264-2196|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
Midwest Regional Office| 137155|801-65290|DIGILOG CONSTELLATION LLC|DIGILOG CONSTELLATION LLC|200 W. JACKSON SUITE 2300||CHICAGO IL 60606|USA|||  ||TERRY REGAS|312-264-2196|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2006|0|0|0|0|0|0
Midwest Regional Office| 137160|801-65291|GLOBAL EQUITY LLC|GLOBAL EQUITY LLC|200 W. JACKSON SUITE 2300||CHICAGO IL 60606|USA|||  ||TERRY REGAS|312-264-2196|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/23/2006|0|0|0|0|0|0
Midwest Regional Office| 137167|801-65288|SUZAKU CAPITAL MANAGEMENT LLC|SUZAKU CAPITAL MANAGEMENT LLC|200 W. JACKSON|SUITE 2300|CHICAGO IL 60606|USA|||  ||TERRY REGAS|3122642196|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2006|0|0|0|0|0|0
Midwest Regional Office| 137175|801-65289|DIGILOG SHEN LLC|DIGILOG SHEN LLC|200 W. JACKSON|SUITE 2300|CHICAGO IL 60606|USA|||  ||TERRY REGAS|312-264-2196|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2006|0|0|0|0|0|0
Midwest Regional Office| 137176|801-65416|MATLINS FINANCIAL CONSULTING, INC.|MATLINS FINANCIAL CONSULTING, INC.|4 WEST OLD STATE CAPITOL PLAZA|SUITE 810|SPRINGFIELD IL 62701|USA|||  ||NANCY A. BETZ|217-788-6900|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/26/2006|0|0|0|0|0|0
Midwest Regional Office| 137196|801-65632|SANGAMON TRADING, INC.|LOGOS TRADING INC.|222 W. ADAMS STREET|SUITE 2200|CHICAGO IL 60606|USA|||  ||JEFF MCKINLEY|312-984-5070|Corporation|Other|APPROVED|01/27/2006|0|0|0|0|0|0
Midwest Regional Office| 137215|801-65357|RITCHIE ADVISORS, LLC|RITCHIE CAPITAL ADVISORS, LLC|2100 ENTERPRISE AVENUE||GENEVA IL 60134|USA|||  ||JAMES G. RICKARDS|630-845-5730|Limited Liability Company|Selection of other advisers, Other|APPROVED|01/27/2006|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 137274|801-65079|GEM REALTY ADVISORS, LLC|GEM REALTY ADVISORS, LLC|900 N. MICHIGAN AVENUE|SUITE 1450|CHICAGO IL 60611-6550|USA|||  ||CRAIG CAFFARELLI|312-915-2402|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/12/2006|0|0|0|0|0|0
Midwest Regional Office| 137374|801-64959|TORSHEN CAPITAL MANAGEMENT, LLC|TORSHEN CAPITAL MANAGEMENT, LLC|444 N. MICHIGAN AVENUE|STE. 2905|CHICAGO IL 60611|USA|||  ||KAY TORSHEN|312-222-0900|Limited Liability Company|Other|APPROVED|12/02/2005|0|0|0|0|0|0
Midwest 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|Other|APPROVED|01/23/2006|0|0|0|0|0|0
Midwest Regional Office| 137586|801-65682|EFFICIENT CAPITAL MANAGEMENT, LLC|EFFICIENT CAPITAL MANAGEMENT, LLC|300 EAST 5TH AVENUE, SUITE 300||NAPERVILLE IL 60563|USA|||  ||DONNA ALLEN|630-753-1232|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|02/01/2006|0|2|0|0|0|0
Midwest Regional Office| 137614|801-65143|CASTLE CREEK PARTNERS, LLC|CASTLE CREEK PARTNERS, LLC|111 WEST JACKSON BLVD|SUITE 2000|CHICAGO IL 60604|USA|||  ||BILL SHIMANEK|312.692.5011|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2006|0|16|1|0|0|0
Midwest Regional Office| 137647|801-64828|PIVOTPOINT ADVISORS, LLC|PIVOTPOINT ADVISORS, LLC|414 D'ONOFRIO DRIVE|SUITE 320|MADISON WI 53719|USA|||  ||JOHN M. NORQUAY|608-826-0840|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|10/25/2005|0|0|0|0|0|0
Midwest Regional Office| 137674|801-64895|VARA CAPITAL MANAGEMENT, L.L.C.|VARA CAPITAL MANAGEMENT, L.L.C.|38W465 STEVENS GLEN ROAD||ST. CHARLES IL 60175|USA|||  ||DAVID R. POPOVICH|630-863-1106|Limited Liability Company|Other|APPROVED-120|12/09/2005|0|0|0|0|0|0
Midwest Regional Office| 137688|801-65385|MAN INVESTMENTS (USA) CORP.|MAN INVESTMENTS (USA) CORP.|123 NORTH WACKER DRIVE|SUITE 2800|CHICAGO IL 60606|USA|||  ||AIDA SAMARZIJA|(212) 589-6488|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
Midwest 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-120|12/21/2005|0|0|0|0|0|0
Midwest Regional Office| 137751|801-64988|THRIVENT ASSET MANAGEMENT, LLC|THRIVENT ASSET MANAGEMENT, LLC|625 FOURTH AVE. SOUTH||MINNEAPOLIS MN 55415-1665|USA|||  ||JENNIFER R. RELIEN|612 340-8648|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|12/15/2005|0|1|0|0|0|0
Midwest 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
Midwest 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
Midwest 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-120|01/30/2006|0|0|0|0|0|0
Midwest 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
Midwest 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
Midwest Regional Office| 137900|801-65034|JPMORGAN CAPITAL MANAGEMENT, LLC|JPMORGAN CAPITAL MANAGEMENT, LLC|21 SOUTH CLARK STREET, 14TH FLOOR||CHICAGO IL 60670-0369|USA|||  ||LEONARD F. WALLACE|(212) 837-8964|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|3|0|0|0
Midwest Regional Office| 137901|801-64975|CLARK STRATEGIC ADVISORS, INC.|CLARK STRATEGIC ADVISORS, INC.|500 W. MADISON STREET|SUITE 2740|CHICAGO IL 60661|USA|||  ||CHRISTINE L. 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
Midwest Regional Office| 137913|801-64968|VAN BUREN ADVISORS LLC|VAN BUREN ADVISORS LLC|30 S. WACKER DRIVE|SUITE 2707|CHICAGO IL 60606|USA|||  ||VILY DARDANES|312-906-7376|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/08/2005|0|0|0|0|0|0
Midwest Regional Office| 137983|801-65847|ASTOR BUSINESS VENTURES|ASTOR BUSINESS VENTURES|1 SOUTH WACKER DRIVE|SUITE 3875|CHICAGO IL 60606|USA|||  ||ROBERT STEIN|312-373-6280|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/30/2006|0|0|0|0|0|0
Midwest 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|650 MADISON AVE, 19TH FLOOR|ATT: CHIEF COMPLIANCE OFFICER|NEW YORK NY 10022|USA|MICHAEL PERRY|212-808-2362|Partnership|Other|APPROVED|01/23/2006|0|0|0|0|0|0
Midwest Regional Office| 138147|801-65367|BC HOLDINGS|BC HOLDINGS|1045 W GLEN OAKS LANE|SUITE 203|MEQUON WI 53092|USA|||  ||TINA KYZER|262-240-0200|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
Midwest Regional Office| 138343|801-65177|RAIL-SPLITTER CAPITAL MANAGEMENT LLC|RAIL-SPLITTER CAPITAL MANAGEMENT LLC|20 N. WACKER DRIVE|SUITE 4120|CHICAGO IL 60606-2801|USA|||  ||JOHN SOUTER|312-629-4957|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|01/24/2006|0|0|0|0|0|0
Midwest Regional Office| 138373|801-66060|CALAMOS PARTNERS LLC|CALAMOS PARTNERS LLC|2020 CALAMOS COURT||NAPERVILLE IL 60563-2787|USA|||  ||HAMMAN, JAMES S. (JR.)|630-245-7296|Limited Liability Company|Other|APPROVED|02/01/2006|1|1|0|0|0|0
Midwest Regional Office| 138388|801-65221|MEADOWBROOK CAPITAL MANAGEMENT, LLC|MEADOWBROOK CAPITAL MANAGEMENT, LLC|520 LAKE COOK ROAD|SUITE 690|DEERFIELD IL 60015|USA|||  ||DANIEL ELEKMAN|847-876-1220|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/11/2006|0|0|0|0|0|0
Midwest Regional Office| 138485|801-65449|ARAGORN MANAGERS LLC|ARAGORN MANAGERS LLC|225  WEST WASHINGTON STREET|SUITE 1650|CHICAGO IL 60606|USA|||  ||STEVEN PLONSKER|312-443-5240|Limited Liability Company|Other|APPROVED|01/24/2006|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 138554|801-66150|GOVERNMENT PUBLIC SECTOR INVESTMENT ADVISORS, INC.|GPS INVESTMENT ADVISORS, INC.|3989 RESEARCH PARK||ANN ARBOR MI 48108|USA|||  ||MICHAEL C. KLOACK|734-668-6688|Corporation|Portfolio management for investment companies, Selection of other advisers|APPROVED|01/30/2006|0|0|0|0|0|0
Midwest Regional Office| 138615|801-65110|OBS FINANCIAL SERVICES, INC.|OBS FINANCIAL SERVICES, INC.|103 N. RIVER ROAD||WATERVILLE OH 43566|USA|||  ||KEVIN OVERY|419 878-1900|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2006|0|1|0|0|0|0
Midwest Regional Office| 138635|801-65180|COPIA CAPITAL LLC|COPIA CAPITAL LLC|71 S. WACKER DRIVE|SUITE 3525|CHICAGO IL 60606-4637|USA|||  ||STEPHANIE HAND|312-544-4206|Limited Liability Company|Other|APPROVED|01/18/2006|0|0|0|0|0|0
Midwest Regional Office| 138703|801-65658|NITE CAPITAL MANAGEMENT, LLC|NITE CAPITAL MANAGEMENT, LLC|100 EAST COOK AVENUE|SUITE 201|LIBERTYVILLE IL 60048-2073|USA|||  ||KEITH ALAN GOODMAN|847-968-2655|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
Midwest 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
Midwest Regional Office| 138835|801-65695|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|01/27/2006|0|0|0|0|0|0
Midwest Regional Office| 138851|801-65231|BOSSHARD INVESTMENT MANAGEMENT COMPANY|BOSSHARD INVESTMENT MANAGEMENT COMPANY|1230 KINGS RIDGE BLVD.||WADSWORTH OH 44281|USA|||  ||OTTO BOSSHARD|330-239-6886|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED-120|01/19/2006|0|0|0|0|0|0
Midwest Regional Office| 138907|801-65637|WOLVERINE ASSET MANAGEMENT, LLC|WOLVERINE ASSET MANAGEMENT, LLC|175 WEST JACKSON|SUITE 200|CHICAGO IL 60604|USA|||  ||JAMES HARKNESS|312-884-3788|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/01/2006|0|2|0|0|0|0
Midwest Regional Office| 138919|801-65912|SECURUS WEALTH MANAGEMENT, LLC|SECURUS WEALTH MANAGEMENT, LLC|1550 UTICA AVENUE SOUTH|SUITE 745|MINNEAPOLIS MN 55416|USA|||  ||JIM GOODLAND|952-843-0075|Limited Liability Company|Financial planning services, 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
Midwest Regional Office| 138935|801-65866|BC INVESTMENT PARTNERS LLC|BC INVESTMENT PARTNERS LLC|200 PUBLIC SQUARE|SUITE 2900|CLEVELAND OH 44114|USA|||  ||TOM BARTOS|216-416-2040|Limited Liability Company|Selection of other advisers, Other|APPROVED|01/30/2006|0|0|0|0|0|0
Midwest Regional Office| 138938|801-66260|MICHALETZ ADVISORS, INC.|DISCIPLINE ADVISORS, INC.|150 ST. ANDREWS CT. #120||MANKATO MN 56001|USA|||  ||NAOMI NAGY|507-382-0987|Corporation|Financial planning services, 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|02/24/2006|0|0|0|0|0|0
Midwest 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|248-909-9623|Limited Liability Company|Financial 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-120|02/17/2006|0|0|0|0|0|0
Midwest Regional Office| 138963|801-65438|IRON PARTNERS LLC|IRON PARTNERS LLC|TWO NORTHFIELD PLAZA|SUITE 250|NORTHFIELD IL 60093|USA|||  ||RICHARD LAKIN|847-501-3511|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
Midwest Regional Office| 138964|801-65782|CTC FUND MANAGEMENT, LLC|CTC FUND MANAGEMENT, LLC|141 W. JACKSON BLVD.|SUITE 800|CHICAGO IL 60604|USA|141 W. JACKSON BLVD.|SUITE 800|CHICAGO IL 60604|USA|MARGARET WIERMANSKI|312-863-8113|Limited Liability Company|Other|APPROVED|01/30/2006|0|1|0|0|0|0
Midwest 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
Midwest Regional Office| 138977|801-65752|GVR INVESTMENT MANAGEMENT, INC.|GVR INVESTMENT MANAGEMENT, INC.|1413 22ND 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)|APPROVED-120|01/25/2006|0|0|0|0|0|0
Midwest Regional Office| 139029|801-65700|CD CAPITAL MANAGEMENT LLC|CD CAPITAL MANAGEMENT LLC|2 N. RIVERSIDE PLAZA STE 720||CHICAGO IL 60606-2627|USA|||  ||JOHN ZIEGELMAN|312-466-3239|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
Midwest Regional Office| 139042|801-66075|TRF PARTNERS|TRF PARTNERS|1 NORTHFIELD PLAZA|SUITE 300|NORTHFIELD IL 60093|USA|||  ||MICHAEL F. ROSINUS|847-441-2601|Partnership|Other|APPROVED|01/31/2006|0|0|0|0|0|0
Midwest 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
Midwest Regional Office| 139069|801-66092|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-120|02/08/2006|0|0|0|0|0|0
Midwest Regional Office| 139083|801-66095|PEAK6 ADVISORS LLC|PEAK6 ADVISORS LLC|141 W. JACKSON|STE. 500|CHICAGO IL 60610|USA|||  ||ANDY HICK|312-362-2310|Limited Liability Company|Other|APPROVED-120|02/17/2006|0|0|0|0|0|0
Midwest 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
Midwest 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
Midwest Regional Office| 139365|801-66143|CLC MANAGEMENT, LLC|CLC MANAGEMENT, LLC|440 S. LASALLE STREET|SUITE 2101|CHICAGO IL 60605|USA|||  ||RICARDO ANDRES LUCAS|312-362-3496|Limited Liability Company|Portfolio 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
Midwest Regional Office| 139451|801-66227|INTRINZIA FAMILY OFFICE|INTRINZIA, LLC|821 MARQUETTE AVENUE|1900 FOSHAY TOWER|MINNEAPOLIS MN 55402|USA|||  ||SOPHIE BELL KELLEY|612-904-2234|Limited Liability Company|Financial planning services, 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
Midwest Regional Office| 139583|801-66197|LAKEVIEW INVESTMENT GROUP, LLC|LAKEVIEW INVESTMENT GROUP, LLC|415 N. LASALLE STREET|SUITE 700B|CHICAGO IL 60610|USA|||  ||MICHAEL NICOLAS|(312) 245-2910|Limited Liability Company|Other|APPROVED|02/01/2006|0|0|0|0|0|0
Midwest Regional Office| 139648|801-66374|STRATEGIC PLANNING, INC.|STRATEGIC PLANNING, INC.|7760 OLENTANGY RIVER ROAD|SUITE 208|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
Northeast 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||ADAM J. PAGLIONE|856-368-2000|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
Northeast 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: DOROTHY STANIEC|WHIPPANY NJ 07981|U.S.A.|DOROTHY STANIEC|973-793-2255|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|152|1|0|0|0
Northeast Regional Office|    231|801-54739|DREYFUS SERVICE CORPORATION|DREYFUS SERVICE CORPORATION|200 PARK AVENUE||NEW YORK NY 10166|USA|||  ||RONALD JAMISON|212-922-6825|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|11|10|0|0|0
Northeast Regional Office|    249|801-887|FAHNESTOCK ASSET MANAGEMENT|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)|APPROVED|02/09/1955|2|21|0|0|0|0
Northeast Regional Office|    298|801-17692|FIRST ALBANY CAPITAL INC.|FIRST ALBANY CAPITAL INC.|677 BROADWAY||ALBANY NY 12207|USA|||  ||KIMMEL, LARRY|518-447-8614|Corporation|Pension consulting services|APPROVED|09/01/1982|0|28|3|0|0|0
Northeast 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|142|4|0|0|0
Northeast 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 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|05/25/1978|2|4|2|0|0|0
Northeast 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|||  ||GEORGE C. HANLEY|973-802-8787|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|12/27/1976|7|16|3|0|0|0
Northeast 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|ANN LARSEN|(212) 538-1059|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|03/12/1999|9|160|6|0|0|0
Northeast Regional Office|    824|801-60881|NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.|NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.|535 MADISON AVENUE|SUITE 2500|NEW YORK NY 10022|USA|||  ||GARY W. MAIR|212-610-6155|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/22/2002|0|19|2|0|0|0
Northeast Regional Office|   1844|801-7885|FIRST INVESTORS MANAGEMENT CO INC|FIRST INVESTORS MANAGEMENT COMPANY, INC.|95 WALL STREET|23RD FLOOR|NEW YORK NY 10005|USA|||  ||ALPHONSO-NAPOLI, GEETA|212 858-8158|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|10/29/1971|0|14|2|0|0|0
Northeast 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
Northeast Regional Office|   2002|801-65667|GILDER GAGNON HOWE & CO. LLC|GILDER GAGNON HOWE & CO. LLC|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
Northeast 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
Northeast 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
Northeast Regional Office|   2078|801-64649|M. GRIFFITH LOCKE INVESTMENT SERVICES INC.|M. GRIFFITH, 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), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|09/08/2005|0|0|0|0|0|0
Northeast 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|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
Northeast 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|2|0|0|0|0
Northeast 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|2|0|0|0|0
Northeast Regional Office|   2525|801-9638|DEUTSCHE BANK SECURITIES INC.|DEUTSCHE BANK SECURITIES INC.|60 WALL STREET||NEW YORK NY 10005|USA|||  ||KENNETH W. MARCUSE|410-895-3632|Corporation|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|11/12/1973|0|89|1|0|0|0
Northeast Regional Office|   2733|801-15425|GEORGE MCKELVEY CO., INC.|GEORGE MCKELVEY CO., INC.|529 WASHINGTON BLVD||SEA GIRT NJ 08750|USA|||  ||LUKAS, CHRISTOPHER A|732-449-5323|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|09/04/1980|0|6|0|0|0|0
Northeast 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|17|0|0|0|0
Northeast 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
Northeast Regional Office|   3248|801-61215|RYAN BECK & CO.|RYAN BECK & CO., INC.|18 COLUMBIA TURNPIKE, FIRST FLOOR||FLORHAM PARK NJ 07932|USA|||  ||ROSE KEENAN|973-597-5735|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/13/2002|4|25|1|0|0|0
Northeast Regional Office|   3254|801-35917|SAGE, RUTTY & CO., INC.|SAGE, RUTTY & CO., INC.|1621 JEFFERSON RD||ROCHESTER NY 14623|USA|||  ||RENEE M. ROMBAUT-O'KEEFE|(585)232-3760|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|01/26/1990|0|0|0|0|0|0
Northeast 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|13|0|0|0|0
Northeast 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
Northeast Regional Office|   3875|801-62276|BRIGHTON SECURITIES CORP.|BRIGHTON SECURITIES CORP.|1703 MONROE AVENUE||ROCHESTER NY 14618|USA|||  ||GEORGE T. CONBOY|585-473-3590|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|09/08/2003|0|1|1|0|0|0
Northeast Regional Office|   3989|801-57963|CITISTREET ADVISORS LLC|CITISTREET ADVISORS LLC|400 ATRIUM DRIVE||SOMERSET NJ 08873|USA|CITISTREET ADVISORS|ONE HERITAGE DRIVE|NORTH QUINCY MA 02171|USA|GARY JENKINS|6173764600|Limited Liability Company|Financial planning services|APPROVED|09/25/2000|0|1|0|0|0|0
Northeast 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
Northeast 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||LEONARD M. BAKAL|212-578-5364|Corporation|Portfolio management for investment companies, Other|APPROVED|12/14/1977|0|79|3|0|0|0
Northeast 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|APPROVED|10/01/2004|0|6|0|0|0|0
Northeast 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 individuals and/or small businesses, Portfolio management for investment companies|APPROVED|12/14/1971|0|6|0|0|0|0
Northeast 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|8|25|1|0|0|0
Northeast Regional Office|   5845|801-7566|A. R. SCHMEIDLER & CO., INC.|A. R. SCHMEIDLER & CO., INC.|555 FIFTH AVE||NEW YORK NY 10017|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
Northeast Regional Office|   6627|801-14065|AXA ADVISORS, LLC|AXA ADVISORS, LLC|1290 AVENUE OF THE AMERICAS||NEW YORK NY 10104||||  ||STUART ABRAMS|212-314-5844|Limited Liability Company|Financial planning services, Portfolio management for 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|74|0|0|0|0
Northeast 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
Northeast 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
Northeast Regional Office|   6958|801-44091|J. B. HANAUER & CO.|J. B. HANAUER & CO.|GATEHALL CORPORATE CENTER 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|8|0|0|0|0
Northeast Regional Office|   7059|801-3387|CITIGROUP GLOBAL MARKETS INC.|CITIGROUP GLOBAL MARKETS INC.|388 GREENWICH STREET, 16TH FLOOR||NEW YORK NY 10013|USA|||  ||ISRAEL GRAFSTEIN|212.816.5906|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|02/23/1964|1|272|2|0|0|0
Northeast Regional Office|   7178|801-9388|MONTROSE PRIVATE CLIENTS|BOSTON INVESTING CORPORATION|505 PARK AVENUE|20TH FLOOR|NEW YORK NY 10022-1106|USA|||  ||LOIS BOCKEMUHL|212-888-5252|Corporation|Financial planning services, Selection of other advisers|APPROVED|08/08/1973|0|0|0|0|0|0
Northeast Regional Office|   7186|801-9204|WALL STREET MANAGEMENT CORPORATION|WALL STREET MANAGEMENT CORPORATION|230 PARK AVE|SUITE 1635|NEW YORK NY 10169|USA|||  ||LINBURN, MICHAEL R.|212-856-8209|Corporation|Portfolio management for investment companies|APPROVED|04/16/1973|0|2|0|0|0|0
Northeast 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|3|0|0|0|0
Northeast 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|APPROVED|07/12/2004|0|3|0|0|0|0
Northeast Regional Office|   7506|801-3701|LEHMAN BROTHERS INC.|LEHMAN BROTHERS INC.|399 PARK AVE||NEW YORK NY 10022|USA|1301 AVENUE OF THE AMERICAS|5TH FLOOR|NEW YORK NY 10019||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|344|2|0|0|0
Northeast 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|||  ||LEE D. UNTERMAN|212-867-9500|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/21/1984|0|0|0|0|0|0
Northeast Regional Office|   7556|801-11745|MORGAN STANLEY|MORGAN STANLEY DW INC.|2000 WESTCHESTER AVENUE|2E|PURCHASE NY 10577|USA|||  ||MICHELE M. VAN TASSEL|(201) 830-5055|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|06/18/1976|0|85|0|0|0|0
Northeast Regional Office|   7560|801-9235|PERSHING LLC|PERSHING LLC|ONE PERSHING PLAZA||JERSEY CITY NJ 07399|USA|||  ||RICHARD IZZO|201-413-2130|Limited Liability Company|Selection of other advisers, Publication of periodicals or newsletters, Security ratings or pricing services, Market timing services, Other|APPROVED|04/23/1973|2|47|0|0|0|0
Northeast Regional Office|   7691|801-14235|MERRILL LYNCH PIERCE FENNER & SMITH INC.|MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED|4 WORLD FINANCIAL CENTER||NEW YORK NY 10281|USA|GLOBAL REGISTRATION & INSURANCE LICENSING|4804 DEER LAKE DR. E., 4TH FLOOR|JACKSONVILLE FL 32246|USA|GENE E. PORTER, JR.|(904) 218-7922|Corporation|Financial planning services, Portfolio management 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|255|5|0|0|0
Northeast Regional Office|   7720|801-14146|KAHN BROTHERS & CO. INC.|KAHN BROTHERS & CO. INC.|555 MADISON AVE|22ND FLR|NEW YORK NY 10022-3301|USA|||  ||KAHN, THOMAS GRAHAM|212-980-5050|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|10/17/1978|0|0|0|0|0|0
Northeast 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|APPROVED|07/09/1978|0|0|0|0|0|0
Northeast 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
Northeast 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)|APPROVED|12/23/1975|0|0|0|0|0|1
Northeast Regional Office|   7870|801-60469|TD WATERHOUSE INVESTOR SERVICES, INC.|TD WATERHOUSE INVESTOR SERVICES, INC.|100 WALL STREET||NEW YORK NY 10005|USA|||  ||THOMAS J. TEXTOR|212/908-7477|Corporation|Financial planning services, Selection of other advisers, Other|APPROVED|08/22/2001|0|34|4|0|0|0
Northeast Regional Office|   8041|801-14866|LEVY, HARKINS & CO., INC.|LEVY, HARKINS & CO., INC.|570 LEXINGTON AVENUE|27TH FLOOR|NEW YORK NY 10022|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
Northeast Regional Office|   8174|801-7163|UBS FINANCIAL SERVICES INC.|UBS FINANCIAL SERVICES INC.|1285 AVENUE OF THE AMERICAS||NEW YORK NY 10019|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|611|7|0|0|0
Northeast Regional Office|   8209|801-11727|MORGAN STANLEY & CO., INCORPORATED|MORGAN STANLEY & CO., INCORPORATED|1585 BROADWAY||NEW YORK NY 10036-8293|USA|1601 BROADWAY, 12TH FLOOR||NEW YORK NY 10019|USA|SELINA H. MURRAY|212-259-1107|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|06/17/1976|0|149|71|0|0|0
Northeast Regional Office|   8517|801-17402|ABNER, HERRMAN & BROCK, INC.|ABNER, HERRMAN & BROCK, INC.|HABORSIDE FINANCIAL CENTER|PLAZA 5 SUITE 1640|JERSEY CITY NJ 07311|USA|||  ||ABNER, HOWARD J|201-484-2000|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/09/1982|0|0|0|0|0|0
Northeast 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
Northeast Regional Office|  10641|801-42709|CADARET GRANT & CO INC|CADARET, GRANT & CO., INC.|110 WEST FAYETTE ST||SYRACUSE NY 13202|USA|||  ||PETER D. GRIFO|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
Northeast 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|2|0|0|0|0
Northeast 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|APPROVED|11/14/1980|1|9|2|0|0|0
Northeast Regional Office|  11039|801-39162|SUMMIT EQUITIES INC|SUMMIT EQUITIES, INC.|4 CAMPUS DR||PARSIPPANY NJ 07054-0413|USA|||  ||MAHER, JOAN M|973 285 3655|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
Northeast Regional Office|  11053|801-56498|SHIELDS CAPITAL CORPORATION|SHIELDS CAPITAL CORPORATION|140 BROADWAY||NEW YORK NY 10005|USA|||  ||JOHN P HUGHES|212 320-3080|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|05/05/1999|0|2|0|0|0|0
Northeast 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
Northeast Regional Office|  11826|801-61540|A.H. HAYNES & CO., INC.|A.H. HAYNES & CO., INC.|101 EAST 52ND STREET||NEW YORK NY 10022|USA|||  ||AMANDA H. HAYNES-DALE|212-826-2909|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|10/18/2002|0|0|0|0|0|0
Northeast 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
Northeast Regional Office|  13755|801-55430|FIRST MONTAUK SECURITIES CORP.|FIRST MONTAUK SECURITIES CORP.|328 NEWMAN SPRINGS RD||RED BANK NJ 07701|USA|||  ||ROBERT I. RABINOWITZ|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|20|0|0|0|0
Northeast Regional Office|  13774|801-19281|WARFIELD ASSOCIATES, INC.|WARFIELD ASSOCIATES, INC.|450 PARK AVE, STE 1401||NEW YORK NY 10022|USA|||  ||RODIN, BARBARA E.|212-319-6755|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/22/1983|0|0|0|0|0|0
Northeast 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|1|0|0|0|0
Northeast 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|LEONARD M. BAKAL|212-578-5364|Corporation|Financial planning services, 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|8|2|0|0|0
Northeast 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|0|0|0|0|0
Northeast Regional Office|  14569|801-46275|THE CONCORD EQUITY GROUP, LLC|CONCORD EQUITY GROUP ADVISORS LLC|100 MATAWAN ROAD||MATAWAN NJ 07747-3912|USA|||  ||ALAN GAVORNIK|7323350800|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|04/14/1994|0|4|0|0|0|0
Northeast Regional Office|  15168|801-34964|OPPENHEIMER & CLOSE, INC.|OPPENHEIMER & CLOSE, INC.|119 W 57TH STREET|SUITE 1515|NEW YORK NY 10019-2303|USA|||  ||SHANDA SCIBILIA|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
Northeast Regional Office|  15277|801-62529|STUDNESS RESEARCH, INC.|STUDNESS RESEARCH, INC.|60 BINGHAM CIRCLE||MANHASSET NY 11030|USA|||  ||HARRIET 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
Northeast Regional Office|  15356|801-21317|MUTUAL OF AMERICA LIFE INSURANCE COMPANY|MUTUAL OF AMERICA LIFE INSURANCE COMPANY|320 PARK AVE||NEW YORK NY 10022|USA|||  ||COSTAGLIOLA, PAUL|212 224-1376|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
Northeast Regional Office|  16360|801-62735|NEEDHAM & COMPANY, LLC|NEEDHAM & COMPANY, LLC|445 PARK AVENUE||NEW YORK NY 10022-2602|U.S.A.|||  ||GLEN W. ALBANESE|212-705-0301|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|15|1|0|0|0
Northeast 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|APPROVED|11/07/1985|0|0|0|0|0|0
Northeast Regional Office|  17128|801-21607|FIRST LONG ISLAND INVESTORS, LLC|FIRST LONG ISLAND INVESTORS, LLC|ONE JERICHO PLAZA||JERICHO NY 11753|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
Northeast Regional Office|  17443|801-61756|ENSEMBLE FINANCIAL SERVICES, INC.|ENSEMBLE FINANCIAL SERVICES, INC.|179 SULLY'S TRAIL|SUITE 200|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|APPROVED|01/24/2003|0|2|0|0|0|0
Northeast Regional Office|  17839|801-47523|THE INVESTMENT CENTER, INC.|THE INVESTMENT CENTER, INC.|1011 ROUTE 22, WEST||BRIDGEWATER NJ 08807|USA|||  ||KRISTEN MCCANN|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), Selection of other advisers|APPROVED|10/25/1994|0|1|0|0|0|0
Northeast Regional Office|  19585|801-64563|HSBC SECURITIES (USA) INC.|HSBC SECURITIES (USA) INC.|452 FIFTH AVENUE||NEW YORK NY 10018|USA|||  ||GREGORY WEBSTER|212-525-2960|Corporation|Other|APPROVED|08/30/2005|0|10|0|0|0|0
Northeast 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|||  ||ARTI JURAKHAN|212-916-4724|Limited Liability Company|Financial planning services|APPROVED|09/24/2004|0|0|0|0|0|0
Northeast 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
Northeast Regional Office|  20989|801-38319|J.P. MORGAN ALTERNATIVE ASSET MANAGEMENT, INC.|J.P. MORGAN ALTERNATIVE ASSET MANAGEMENT, INC.|522 FIFTH AVENUE, 10TH FLOOR||NEW YORK NY 10036|USA|||  ||LEONARD F. WALLACE|(212) 837-8964|Corporation|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|4|3|0|0|0
Northeast Regional Office|  21274|801-32004|UAS ASSET MANAGEMENT|UNITED AMERICAN SECURITIES, INC.|441 LEXINGTON AVE|SUITE 1220|NEW YORK NY 10017|USA|||  ||ALI GRANMAYEH|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
Northeast 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
Northeast 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|2|0|0|0|0
Northeast Regional Office|  22998|801-39604|MUZINICH & CO INC|MUZINICH & CO INC|450 PARK AVE||NEW YORK NY 10022|USA|||  ||RICHARD F. FELTZ|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
Northeast Regional Office|  23122||ANGELO, GORDON & CO., L.P.|ANGELO, GORDON & CO., L.P.|245 PARK AVE, 26TH FLOOR||NEW YORK NY 10167|USA|||  ||BERGER, FRED|(212) 692-2040|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/26/1989|0|0|0|0|0|0
Northeast Regional Office|  23131|801-54859|ROYAL ALLIANCE ASSOCIATES, INC.|ROYAL ALLIANCE ASSOCIATES, INC.|733 THIRD AVENUE|ELEVENTH FLOOR|NEW YORK NY 10017|USA|||  ||JOHN CHAWALKO|212-551-5730|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|09/10/1997|2|78|5|0|0|0
Northeast 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
Northeast Regional Office|  23988|801-60996|CITICORP INVESTMENT SERVICES|CITICORP INVESTMENT SERVICES|1 COURT SQUARE 24TH FLOOR||LONG ISLAND CITY NY 11120|USA|1 COURT SQUARE||LONG ISLAND CITY NY 11209|US|GINA NOLAN|212-248-3763|Corporation|Financial planning services, Publication of periodicals or newsletters, Other|APPROVED|04/19/2002|0|4|39|0|0|0
Northeast 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, Selection of other advisers|APPROVED|04/25/1989|0|1|0|0|0|0
Northeast Regional Office|  24583|801-33110|LEGACY INVESTMENT ADVISORS, LLC|LEGACY INVESTMENT ADVISORS, LLC|1000 MAIN STREET PLAZA|SUITE 200 B|VOORHEES NJ 08043|USA|||  ||ALBERT A. STURDIVANT|856-751-1331|Limited Liability Company|Financial planning 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|10/21/1988|0|1|0|0|0|0
Northeast Regional Office|  24750|801-61795|DU PASQUIER ASSET MANAGEMENT|DUPASQUIER & CO., INC.|ONE BATTERY PARK PLAZA||NEW YORK NY 10004|USA|||  ||ROBERT J. RICCA|212-898-7578|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
Northeast Regional Office|  24790|801-57121|C.E. UNTERBERG, TOWBIN LLC|C.E. UNTERBERG, TOWBIN 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
Northeast Regional Office|  26091|801-54997|BANC OF AMERICA SECURITIES LLC|BANC OF AMERICA SECURITIES LLC|9 WEST 57TH STREET|SECOND FLOOR-MEZZANINE LEVEL|NEW YORK NY 10019-2701|USA|||  ||TIMOTHY A. SMITH|646-313-8270|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/01/1997|0|58|3|0|0|0
Northeast Regional Office|  26580|801-61632|AXIOM CAPITAL MANAGEMENT, INC.|AXIOM CAPITAL MANAGEMENT, INC.|780 THIRD AVE|43RD FLOOR|NEW YORK NY 10017-2024|USA|||  ||MARK D. MARTINO|212-521-3800|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/22/2004|0|8|0|0|0|0
Northeast Regional Office|  27240|801-42453|SANDALWOOD SECURITIES, INC.|SANDALWOOD SECURITIES, INC.|101 EISENHOWER PARKWAY||ROSELAND NJ 07068|USA|ONE SANDALWOOD DRIVE||LIVINGSTON NJ 07039|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
Northeast Regional Office|  27704|801-37906|THE WINCHESTER GROUP, INC.|THE WINCHESTER GROUP, INC.|153 E. 53RD STREET|SUITE 5101|NEW YORK NY 10022|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
Northeast 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: DOROTHY STANIEC|WHIPPANY NJ 07981|U.S.A.|DOROTHY STANIEC|973-793-2255|Corporation|Selection of other advisers, Other|APPROVED|11/05/2002|1|22|1|0|0|0
Northeast Regional Office|  28722|801-61151|IXIS SECURITIES NORTH AMERICA INC.|IXIS 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
Northeast Regional Office|  28872|801-63468|ING FINANCIAL MARKETS LLC|ING FINANCIAL MARKETS LLC|1325 AVENUE OF THE AMERICAS|12TH FLOOR|NEW YORK NY 10019|USA|1325 AVENUE OF THE AMERICAS|12TH FLOOR|NEW YORK NY 10019|USA|JOHN MCCARTHY|646-424-6785|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies|APPROVED|08/24/2004|0|17|1|0|0|0
Northeast 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, Portfolio management for investment companies|APPROVED|06/20/2002|0|0|0|0|0|0
Northeast Regional Office|  35690|801-42233|MAFG RIA SERVICES, INC.|MAFG RIA SERVICES, INC.|102 GAITHER DRIVE|SUITE 5|MT LAUREL NJ 08054|USA|||  ||LINDA POSTORIVO|856-793-5000|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|08/31/1992|0|0|0|0|0|0
Northeast Regional Office|  35830|801-58292|WALL STREET FINANCIAL GROUP, INC|WALL STREET FINANCIAL GROUP, INC.|255 WOODCLIFF DR||FAIRPORT NY 14450|USA|||  ||VICTORIA BACH-FINK|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, Other|APPROVED|02/02/2001|0|3|3|0|0|0
Northeast Regional Office|  37214|801-46649|MBIA CAPITAL MANAGEMENT CORP.|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
Northeast Regional Office|  38235|801-61194|APB FINANICIAL GROUP, INC.|APB FINANICIAL GROUP, INC.|WALL STREET TOWER|20 EXCHANGE PLACE, 38TH FLOOR|NEW YORK NY 10005|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
Northeast Regional Office|  38474|801-49252|OLSTEIN & ASSOCIATES L.P.|OLSTEIN & ASSOCIATES, 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
Northeast Regional Office|  39501|801-60371|VETIA, INC.|VETIA, INC.|466 SOUTHERN BOULEVARD||CHATHAM NJ 07928|USA|||  ||VINCENT E. TETI|973-301-0930|Corporation|Selection of other advisers|APPROVED|06/22/2001|0|0|0|0|0|0
Northeast Regional Office|  40633|801-55281|FCG ADVISORS LLC|FCG ADVISORS, LLC|ONE MAIN ST|#202|CHATHAM NJ 07928|USA|||  ||JOHN A. COMBIAS|973-635-7374|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
Northeast Regional Office|  40686|801-54624|PINNACLE INVESTMENTS, INC.|PINNACLE INVESTMENTS, INC.|5710 COMMONS PARK||E. SYRACUSE NY 13057|USA|||  ||DANIEL F. RAITE|315.251.1101|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/17/1997|0|0|0|0|0|0
Northeast Regional Office|  41076|801-56361|RAMIUS SECURITIES, L.L.C.|RAMIUS SECURITIES, L.L.C.|666 THIRD AVE, 26TH FLOOR||NEW YORK NY 10017|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
Northeast Regional Office|  42159|801-58085|HARRISDIRECT LLC|HARRISDIRECT LLC|HARBORSIDE FINANCIAL CENTER|501 PLAZA II|JERSEY CITY NJ 07311|USA|||  ||ANTHONY P. FESTA|201-308-3437|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|11/20/2000|0|16|0|0|0|0
Northeast Regional Office|  42430|801-61397|MBSC, LLC|MBSC, LLC|200 PARK AVENUE 8TH FLOOR||NEW YORK NY 10166|USA|||  ||STEPHEN J. STOREN|212-922-6228|Limited Liability Company|Portfolio management for individuals and/or small businesses, Other|APPROVED|09/06/2002|0|10|9|0|0|0
Northeast Regional Office|  42886|801-60045|INSTINET LLC|INSTINET LLC|THREE TIMES SQUARE||NEW YORK NY 10036|USA|||  ||DANIEL J. SILVA|212-310-5205|Limited Liability Company|Publication of periodicals or newsletters, Market timing services, Other|APPROVED|03/20/2001|0|7|0|0|0|0
Northeast Regional Office|  43771|801-63087|TOBIAS BROS. INC.|TOBIAS BROS. INC.|153 EAST 53RD STREET|SUITE 5501|NEW YORK NY 10022|USA|||  ||SETH PLATT|(212) 508-7045|Corporation|Other|APPROVED|05/07/2004|0|0|0|0|0|0
Northeast 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
Northeast Regional Office|  44575|801-56355|COMPREHENSIVE PROGRAMS, INC.|COMPREHENSIVE PROGRAMS, INC.|513 CENTENNIAL BLVD.||VOORHEES NJ 08043|USA|||  ||GARY D. DEVICCI|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
Northeast 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
Northeast Regional Office|  47251|801-64690|KOTAK MAHINDRA, INC.|KOTAK MAHINDRA, INC.|50 MAIN STREET|SUITE #310|WHITE PLAINS NY 10606|USA|||  ||RAVILOCHAN POLA|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
Northeast Regional Office|  47683|801-64805|BNY INVESTMENT CENTER INC.|BNY INVESTMENT CENTER INC.|1633 BROADWAY, 9TH FLOOR||NEW YORK NY 10019|USA|||  ||KENT R. LORENTZEN|800-269-4477|Corporation|Financial planning services, 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
Northeast 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
Northeast Regional Office|  47979|801-57859|STOCKBACK ADVISERS LLC|STOCKBACK ADVISERS LLC|11 BROADWAY, 17TH FLOOR||NEW YORK NY 10004|USA|||  ||VIRGINIA PICCIANO|212-937-4075|Limited Liability Company|Portfolio management for investment companies|APPROVED|08/14/2000|0|0|0|0|0|0
Northeast Regional Office| 102920|801-64031|J.P. MORGAN INSTITUTIONAL INVESTMENTS|J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.|522 FIFTH AVENUE||NEW YORK NY 10036|USA|||  ||DIANE RIBACK|212-837-2724|Corporation|Selection of other advisers, Other|APPROVED|04/05/2005|0|0|3|0|0|0
Northeast 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
Northeast 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
Northeast 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|3|0|0|0
Northeast Regional Office| 104068|801-58090|DELTEC ASSET MANAGEMENT LLC|DELTEC ASSET MANAGEMENT LLC|645 FIFTH AVENUE||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 businesses or institutional clients (other than investment companies)|APPROVED|09/29/2000|0|0|0|0|0|0
Northeast 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)|APPROVED|02/01/2006|0|3|0|0|0|0
Northeast 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|||  ||LAURENCE H. BERTAN|(212)969-1309|Limited Liability Company|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|24|0|0|0|0
Northeast Regional Office| 104518|801-252|DEUTSCHE INVESTMENT MANAGEMENT AMERICAS INC.|DEUTSCHE INVESTMENT MANAGEMENT AMERICAS INC.|345 PARK AVENUE|MAILSTOP NYC20-1626|NEW YORK NY 10154|USA|||  ||JOHN ROBBINS|212-454-1601|Corporation|Portfolio 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|3|0|0|0|0
Northeast Regional Office| 104525|801-42061|MORGAN STANLEY INVESTMENT ADVISORS INC.|MORGAN STANLEY INVESTMENT ADVISORS INC.|1221 AVENUE OF AMERICAS||NEW YORK NY 10020|USA|||  ||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|08/06/1992|0|4|4|0|0|0
Northeast Regional Office| 104543|801-36845|HARDING LOEVNER MANAGEMENT LP|HARDING LOEVNER MANAGEMENT LP|50 DIVISION STREET, STE 401||SOMERVILLE NJ 08876|USA|||  ||SINGLETON, PATRICE M|908-218-7900|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|APPROVED|04/16/1990|0|0|0|0|0|0
Northeast Regional Office| 104548|801-7495|GRIFFIN ASSET MANAGEMENT, INC.|GRIFFIN ASSET MANAGEMENT, INC.|330 MADISON AVE||NEW YORK NY 10017-5071|USA|||  ||STUTTIG, CHRISTINE|(212) 661-3636|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/09/1971|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 104567|801-15717|MCRAE CAPITAL MANAGEMENT INC.|MCRAE CAPITAL MANAGEMENT INC.|100 CAMPUS DRIVE||FLORHAM PARK NJ 07932-1006|USA|||  ||STOECKLER, PHYLLIS G.|973-966-6475|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
Northeast 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.|201-585-7733|Limited Liability Company|Portfolio 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
Northeast 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)|APPROVED|11/22/1996|0|0|0|0|0|0
Northeast 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
Northeast 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
Northeast 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. 159|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
Northeast Regional Office| 104645|801-28012|R.W. ROGE & COMPANY, INC|R. W. ROGE & COMPANY, INC|630 JOHNSON AVE||BOHEMIA NY 11716-2618|USA|||  ||DAVE SILK|(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
Northeast 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
Northeast Regional Office| 104703|801-13862|VAN KAMPEN ADVISORS INC|VAN KAMPEN ADVISORS INC|1221 AVENUE OF THE AMERICAS||NEW YORK NY 10020|USA|||  ||MADELINE BARKHORN|212-762-7206|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|06/19/1978|0|0|0|0|0|0
Northeast 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
Northeast 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|0|0|0|0
Northeast 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
Northeast Regional Office| 104744|801-19055|PARSONS ASSET MANAGEMENT, INC.|PARSONS ASSET MANAGEMENT, INC.|25 GRIFFIN AVE||BEDFORD HILLS NY 10507|USA|25 GRIFFIN AVENUE|P.O. BOX 495|BEDFORD HILLS NY 10507|USA|MARIANNE BOLAND|914 241 4707|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|06/10/1983|0|2|0|0|0|0
Northeast Regional Office| 104766|801-3186|PEGASUS ASSET MANAGEMENT INC|PEGASUS ASSET MANAGEMENT INC|400 RELLA BLVD.|SUITE 157|MONTEBELLO NY 10901|USA|||  ||JOHN SEBASTIANO|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
Northeast Regional Office| 104783|801-17691|CAPITAL MANAGEMENT ASSOCIATES INC|CAPITAL MANAGEMENT ASSOCIATES INC|140 BROADWAY, 44TH FLOOR||NEW YORK NY 10005|USA|||  ||ZOCK, JOSEPH|212-320-2033|Corporation|Portfolio 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
Northeast 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
Northeast 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
Northeast 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
Northeast 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
Northeast Regional Office| 104832|801-15442|RICH ADVISORY CORP|RICH ADVISORY CORP|130 NORTHERN PARKWAY WEST||PLAINVIEW NY 11803|USA|||  ||RICH ANDREW MICHAEL|(516) 433-0828|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Other|APPROVED|08/28/1980|0|0|0|0|0|0
Northeast 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|||  ||RAYMOND BARRY|212-314-3808|Corporation|Portfolio management for investment companies, Selection of other advisers, Other|APPROVED|10/21/1970|8|49|0|0|0|0
Northeast Regional Office| 104846|801-35421|BRINTON EATON ASSOCIATES INC|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
Northeast 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
Northeast Regional Office| 104870|801-19314|HGK ASSET MANAGEMENT INC|HGK ASSET MANAGEMENT INC|NEWPORT TOWER|525 WASHINGTON BLVD|JERSEY CITY NJ 07310|USA|||  ||ARTHUR E. COIA|201-659-3700|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/26/1983|0|0|0|0|0|0
Northeast 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), Other|APPROVED|09/24/1982|0|1|1|0|0|0
Northeast 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
Northeast Regional Office| 104882|801-47055|LANE DOUGLAS C & ASSOCIATES INC|LANE DOUGLAS C & ASSOCIATES INC|100 PARK AVENUE|36TH FLOOR|NEW YORK NY 10017|USA|||  ||SCHILLACI, MARIA ANN|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
Northeast Regional Office| 104885|801-1669|VAN KAMPEN ASSET MANAGEMENT|VAN KAMPEN ASSET MANAGEMENT|1221 AVENUE OF THE AMERICAS||NEW YORK NY 10020|USA|||  ||MADELINE BARKHORN|212-762-7206|Other (specify)|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/06/1958|0|2|1|0|0|0
Northeast Regional Office| 104920|801-33145|CONDOR CAPITAL MANAGEMENT|CONDOR CAPITAL MANAGEMENT|1973 WASHINGTON VALLEY ROAD||MARTINSVILLE NJ 08836|USA|||  ||KENNETH PAUL SCHAPIRO|732 356 7323|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|11/14/1988|0|0|0|0|0|0
Northeast Regional Office| 104928|801-17685|ELIAS ASSET MANAGEMENT INC|ELIAS ASSET MANAGEMENT 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
Northeast 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
Northeast 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
Northeast Regional Office| 104949|801-37706|GABELLI FUNDS, LLC|GABELLI FUNDS, LLC|ONE CORPORATE CENTER||RYE NY 10580-1422|USA|||  ||JAMES E. MCKEE|914-921-5294|Limited Liability Company|Portfolio management for investment companies|APPROVED|11/16/1990|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 104951|801-35943|FAMILY MANAGEMENT CORP|FAMILY MANAGEMENT CORP|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
Northeast 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
Northeast 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|||  ||STEMPLER, MARA DEBORAH|212-603-7521|Corporation|Portfolio 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|1|0|0|0|0
Northeast 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
Northeast Regional Office| 104969|801-4148|NEVILLE, RODIE & SHAW INC|NEVILLE, RODIE & SHAW INC|200 MADISON AVE||NEW YORK NY 10016|USA|||  ||LONCTO, DENIS EDWARD|(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
Northeast 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 ZACK|212-323-0250|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/11/1986|0|21|1|0|0|0
Northeast 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 ZACK|212-323-0250|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/29/1989|0|21|1|0|0|0
Northeast Regional Office| 104983|801-8253|OPPENHEIMERFUNDS INC|OPPENHEIMERFUNDS INC|TWO WORLD FINANCIAL CENTER|225 LIBERTY STREET|NEW YORK NY 10281-1008|USA|||  ||ROBERT ZACK|212-323-0250|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/13/1971|0|22|6|0|0|0
Northeast Regional Office| 104990|801-18223|SUMMIT FINANCIAL RESOURCES INC|SUMMIT FINANCIAL RESOURCES INC|4 CAMPUS DR||PARSIPPANY NJ 07054-0413|USA|||  ||MAHER, JOAN M|973 285 3655|Corporation|Financial planning services|APPROVED|01/10/1983|1|0|0|0|0|0
Northeast Regional Office| 104999|801-27041|CLOVER CAPITAL MANAGEMENT INC|CLOVER CAPITAL MANAGEMENT INC|400 MERIDIAN CENTRE|STE 200|ROCHESTER NY 14618-3991|USA|||  ||CARL, STEPHEN J.|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
Northeast Regional Office| 105006|801-27291|DEUTSCHE ASSET MANAGEMENT INC|DEUTSCHE ASSET MANAGEMENT INC|345 PARK AVENUE|MAILSTOP NYC20-1626|NEW YORK NY 10154|USA|||  ||JOHN ROBBINS|212-454-1601|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/23/1986|0|2|0|0|0|0
Northeast Regional Office| 105007|801-21953|VONTOBEL ASSET MANAGEMENT, INC.|VONTOBEL ASSET MANAGEMENT, INC.|450 PARK AVE||NEW YORK NY 10022|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), Selection of other advisers|APPROVED|08/03/1984|0|0|0|0|0|0
Northeast Regional Office| 105019|801-21496|HVB CAPITAL MANAGEMENT INC|HVB CAPITAL MANAGEMENT INC|150 EAST 42ND STREET|31ST FLOOR|NEW YORK NY 10017|USA|||  ||TERRY RILEY|(212) 672-5427|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/07/1984|0|0|0|0|0|0
Northeast 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
Northeast 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
Northeast Regional Office| 105067|801-35676|MERRILL LYNCH ALTERNATIVE INVESTMENTS LLC|MERRILL LYNCH ALTERNATIVE INVESTMENTS LLC|800 SCUDDERS MILL ROAD|SECTION 2G|PLAINSBORO NJ 08536|USA|GLOBAL REGISTRATION & INSURANCE LICENSING|4804 DEER LAKE DR. E., 4TH FLOOR|JACKSONVILLE FL 32246|USA|GENE E. PORTER, JR.|(904) 218-7922|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|02/01/1990|0|0|1|0|0|0
Northeast Regional Office| 105068|801-11583|MERRILL LYNCH INVESTMENT MANAGERS LP|MERRILL LYNCH INVESTMENT MANAGERS LP|800 SCUDDERS MILL ROAD||PLAINSBORO NJ 08536|USA|GLOBAL REGISTRATION & INSURANCE LICENSING|4804 DEER LAKE DR. E., 4TH FLOOR|JACKSONVILLE FL 32246|USA|GENE E. PORTER, JR.|(904) 218-7922|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|05/07/1976|1|6|2|0|0|0
Northeast 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
Northeast Regional Office| 105080|801-21340|VAN ECK ASSOCIATES CORP.|VAN ECK ASSOCIATES CORP.|99 PARK AVENUE, 8TH FLOOR||NEW YORK NY 10016|USA|||  ||HEIDI CAIN|212-293-2037|Corporation|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
Northeast 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|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), Security ratings or pricing services|APPROVED|02/12/1988|0|0|0|0|0|0
Northeast 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
Northeast 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|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/01/1987|0|0|0|0|0|0
Northeast Regional Office| 105131|801-33969|GEORGE W. LAUB & ASSOCIATES, LLC|LAUB GEORGE WESLEY|1378 STATLER TOWERS||BUFFALO NY 14202|USA|||  ||LAUB, GEORGE W.|716 852 2725|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/27/1989|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 105155|801-20376|MURPHY CAPITAL MANAGEMENT INC|MURPHY CAPITAL MANAGEMENT INC|123 PROSPECT STREET||RIDGEWOOD NJ 07450|USA|||  ||MURPHY, JOHN J.|201-445-8366|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
Northeast Regional Office| 105165|801-11328|DRESDNER & CO INC|DRESDNER & CO INC|65 SOUTH MAIN STREET BLDG B||PENNINGTON NJ 08534|USA|||  ||DRESDNER, K PHILIP|609-730-1444|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/12/1976|0|0|0|0|0|0
Northeast Regional Office| 105167|801-18284|MB INVESTMENT PARTNERS, INC.|MB INVESTMENT PARTNERS, INC.|825 THIRD AVENUE|31ST FLOOR|NEW YORK NY 10022|USA|||  ||NEIL SCLATER-BOOTH|212-370-7300|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/25/1983|0|1|0|0|0|0
Northeast Regional Office| 105178|801-35692|MGP ADVISERS LIMITED PARTNERSHIP|MGP ADVISERS LIMITED PARTNERSHIP|153 EAST 53RD STREET 55TH FLOOR|SPECIAL SITUATIONS FUND|NEW YORK NY 10022|USA|||  ||ROSE CARLING|212-207-6500|Partnership|Portfolio management for investment companies|APPROVED|11/06/1989|0|0|0|0|0|0
Northeast Regional Office| 105184|801-22193|GREENBAUM AND ORECCHIO, INC|GREENBAUM AND ORECCHIO, INC.|1 DEWOLF ROAD||OLD TAPPAN NJ 07675|USA|||  ||GREENBAUM, GARY R|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
Northeast Regional Office| 105207|801-15483|BMI CAPITAL CORPORATION|BMI CAPITAL CORPORATION|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
Northeast Regional Office| 105208|801-32051|BLACKHILL CAPITAL, INC|BLACKHILL CAPITAL, INC|161 MADISON AVENUE||MORRISTOWN NJ 07960|USA|||  ||SCHWARTZ, CARY M.|973-984-7014|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|05/13/1988|0|0|0|0|0|0
Northeast Regional Office| 105235|801-15850|PLATT CAPITAL MANAGEMENT INC|PLATT CAPITAL MANAGEMENT INC|950 THIRD AVE||NEW YORK NY 10022|USA|||  ||PLATT, DAVID SCRANTON|212-759-4480|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|02/02/1981|0|0|0|0|0|0
Northeast Regional Office| 105251|801-10708|OPPENHEIMER CAPITAL LLC|OPPENHEIMER CAPITAL LLC|1345 AVE OF THE AMERICAS|48TH FLOOR|NEW YORK NY 10105|USA|888 SAN CLEMENTE DRIVE|SUITE 100|NEWPORT BEACH CA 92660|UNITED STATES|JANET SQUITIERI|(212) 739-3231|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/20/1975|0|0|1|0|0|0
Northeast 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
Northeast 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
Northeast Regional Office| 105310|801-31294|KRASNEY FINANCIAL, LLC|JOSHUA LAUREN & CO INC|19 DOGWOOD DRIVE||BROOKSIDE NJ 07926|USA|PO BOX 260||BROOKSIDE NJ 07926|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
Northeast Regional Office| 105340|801-28756|PAGEONE FINANCIAL, INC.|PAGEONE FINANCIAL, INC.|1023 ROUTE 146, SUITE 1||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|0|0|0|0
Northeast Regional Office| 105341|801-20433|BULLARD MCLEOD & ASSOCIATES INC|BULLARD MCLEOD & ASSOCIATES INC|194 WASHINGTON AVENUE, SUITE 520||ALBANY NY 12210|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
Northeast 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|CRANDALL, CATHERINE BETH|(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
Northeast Regional Office| 105373|801-31837|KARP RONALD A ASSOCIATES INC|KARP RONALD A ASSOCIATES 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), Pension consulting services|APPROVED|04/08/1988|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 105395|801-831|BARRETT ASSOCIATES INC|BARRETT ASSOCIATES INC|90 PARK AVENUE||NEW YORK NY 10016|USA|||  ||VERNON, RUSSELL O.|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
Northeast 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|||  ||MARSHAK, MELANIE HOPE|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
Northeast Regional Office| 105409|801-27115|POLLOCK PLANNING ASSOCIATES INC|POLLOCK PLANNING ASSOCIATES INC|232 JUNIPER WAY||MOUNTAINSIDE NJ 07092|USA|||  ||POLLOCK, ALVIN SAMUEL|908-789-4226|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/30/1986|0|0|0|0|0|0
Northeast Regional Office| 105424|801-35126|ROSENBLUM SILVERMAN SUTTON, N.Y., INC.|ROSENBLUM SILVERMAN SUTTON, N.Y., INC.|745 FIFTH AVENUE|26TH FLOOR|NEW YORK NY 10151|USA|||  ||BARBARA SILVERMAN|212 752-3800|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|09/07/1989|0|0|0|0|0|0
Northeast Regional Office| 105454|801-14138|AMERICAN FUND ADVISORS INC|AMERICAN FUND ADVISORS INC|1415 KELLUM PL STE 205||GARDEN CITY NY 11530|USA|||  ||ERERA, LAURENCE EMANUEL|516-739-1017|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
Northeast 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|||  ||BERNBACH, ALLISON|(212) 681-3145|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
Northeast 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
Northeast 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)|APPROVED|03/11/1986|0|0|0|0|0|0
Northeast 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|||  ||JAFFE, MARTIN|212-649-0600|Corporation|Financial planning services, Other|APPROVED|07/31/1978|0|2|0|0|0|0
Northeast Regional Office| 105466|801-482|BECK, MACK & OLIVER LLC|BECK, MACK & OLIVER LLC|360 MADISON AVE||NEW YORK NY 10017-7111|USA|||  ||SOLTIS, ANNE M|212-661-2640|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|11/01/1940|0|0|0|0|0|0
Northeast Regional Office| 105479|801-33835|WEB401KCOM INC|WEB401KCOM INC|300 ALEXANDER PARK|SUITE 203|PRINCETON NJ 08540|USA|||  ||HOWARTH, LEYLA Y|609-275-2909|Corporation|Pension consulting services|APPROVED|09/07/1989|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 105533|801-19750|WRM EQUITY MANAGEMENT INC|WRM EQUITY MANAGEMENT INC|160 N STATE ROAD||BRIARCLIFF MANOR NY 10510|USA|||  ||MARCUS, WARREN R|914 762-7232|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/19/1983|0|0|0|0|0|0
Northeast 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|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|20|0|0|0|0
Northeast 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
Northeast Regional Office| 105588|801-22119|AQUILA INVESTMENT MANAGEMENT LLC|AQUILA INVESTMENT MANAGEMENT LLC|380 MADISON AVE, STE 2300||NEW YORK NY 10017|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
Northeast Regional Office| 105597|801-13942|JOHN W. BRISTOL & CO., INC.|JOHN W. BRISTOL & CO., INC.|48 WALL STREET||NEW YORK NY 10005|USA|||  ||MATTESON, HEDY Y|212-389-5886|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
Northeast Regional Office| 105599|801-36116|WRIGHT ASSET MANAGEMENT INC|WRIGHT ASSET MANAGEMENT INC|2640 HWY 70|BLDG 7A, STE 201|MANASQUAN NJ 08736|USA|PO BOX 328||BRIELLE NJ 08730-0328|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
Northeast Regional Office| 105603|801-10937|GARRISON BRADFORD & ASSOCIATES INC|GARRISON BRADFORD & ASSOCIATES INC|122 EAST 42ND ST., STE 3500||NEW YORK NY 10168|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
Northeast 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, Other|APPROVED|05/13/1988|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 105625|801-34524|EQUINOX CAPITAL MANAGEMENT, LLC|EQUINOX CAPITAL MANAGEMENT, LLC|590 MADISON AVE||NEW YORK NY 10022|USA|||  ||VICARI, LAURIE A|212-207-1100|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|05/11/1989|0|0|0|0|0|0
Northeast Regional Office| 105639|801-36529|U.S. REALTY ADVISORS, INC|U.S. REALTY ADVISORS, INC.|1370 AVENUE OF THE AMERICAS|21ST FLOOR|NEW YORK NY 10019|USA|||  ||LEDY, DAVID M.|(212) 581-4540|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|05/04/1990|0|0|0|0|0|0
Northeast 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|10|10|0|0|0
Northeast Regional Office| 105658|801-21811|PRAMERICA ASSET MANAGEMENT, INC.|PRAMERICA ASSET MANAGEMENT, INC.|GATEWAY CENTER TWO|MCCARTER HIGHWAY & MARKET STREET|NEWARK NJ 07102-4077|USA|||  ||LEE AUGSBURGER|(973)367-1388|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|07/17/1984|0|1|1|0|0|0
Northeast Regional Office| 105667|801-19567|FINANCIAL PARTNERS CAPITAL MANAGEMENT INC.|FINANCIAL PARTNERS CAPITAL MANAGEMENT INC|590 MADISON AVE||NEW YORK NY 10022|USA|||  ||AARON COHEN|212.409.2118|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/29/1983|0|32|0|0|0|0
Northeast 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
Northeast 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
Northeast Regional Office| 105676|801-22808|PRUDENTIAL INVESTMENT MANAGEMENT, INC.|PRUDENTIAL INVESTMENT MANAGEMENT, INC.|GATEWAY CENTER 2|MCCARTER HIGHWAY & MARKET STREET|NEWARK NJ 07102|USA|||  ||LEE AUGSBURGER|(973) 367-1388|Corporation|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
Northeast 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
Northeast 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
Northeast Regional Office| 105686|801-25999|HSBC INVESTMENTS (USA) INC.|HSBC INVESTMENTS (USA) INC.|452 FIFTH AVENUE|18TH 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
Northeast Regional Office| 105690|801-36209|TOCQUEVILLE ASSET MANAGEMENT LP|TOCQUEVILLE ASSET MANAGEMENT LP|40 WEST 57TH STREET, 19TH FLOOR||NEW YORK NY 10019|USA|||  ||BOSCO, ELIZABETH|212-698-0800|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
Northeast Regional Office| 105691|801-28992|MARK ASSET MANAGEMENT CORP|MARK ASSET MANAGEMENT CORP|667 MADISON AVENUE, 9TH FLOOR||NEW YORK NY 10021|USA|||  ||WILKENS, JOHN A.|212-372-2517|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/20/1987|0|0|0|0|0|0
Northeast 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
Northeast 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
Northeast Regional Office| 105750|801-15405|MILBANK WINTHROP & CO.|MILBANK WINTHROP & CO.|654 MADISON AVE|STE 1550|NEW YORK NY 10021-8431|USA|||  ||BENNETT, JANICE|212-980-2500|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|08/28/1980|0|0|0|0|0|0
Northeast 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|0|0|0|0
Northeast 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|||  ||PONS, BRENDA SUE|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
Northeast 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
Northeast 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
Northeast 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
Northeast Regional Office| 105885|801-28696|MASON HILL ADVISORS LLC|MASON HILL ADVISORS LLC|477 MADISON AVE|8TH FLOOR|NEW YORK NY 10022|USA|||  ||IMAAN KABIR|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
Northeast 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
Northeast Regional Office| 105897|801-34212|MEYER CAPITAL GROUP|FINANCIAL ARCHITECTS INC|6000 SAGEMORE DRIVE|SUITE 6103|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
Northeast 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
Northeast Regional Office| 105907|801-33347|KLINGENSTEIN, FIELDS & CO., LLC|KLINGENSTEIN, FIELDS & CO., LLC|EQUITABLE CENTER|787 7TH AVE|NEW YORK NY 10019|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
Northeast 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
Northeast 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
Northeast Regional Office| 105918|801-45235|MONTROSE ADVISORS INC|MONTROSE ADVISORS INC|505 PARK AVENUE, 20TH FLOOR||NEW YORK NY 10022|USA|||  ||BOCKEMUHL, 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
Northeast Regional Office| 105926|801-18759|AIG GLOBAL INVESTMENT CORP|AIG GLOBAL INVESTMENT CORP|70 PINE STREET||NEW YORK NY 10270|USA|||  ||ERIK MOGAVERO|(212) 770-9044|Corporation|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|4|2|0|0|0
Northeast 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
Northeast 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|||  ||TERRY  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
Northeast Regional Office| 105963|801-47568|GABELLI ADVISERS, INC.|GABELLI ADVISERS, INC.|ONE CORPORATE CENTER||RYE NY 10580-1422|USA|||  ||JAMES E. MCKEE|914-921-5294|Corporation|Portfolio management for investment companies|APPROVED|10/06/1994|0|0|0|0|0|0
Northeast 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|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
Northeast 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
Northeast Regional Office| 106011|801-16075|MORSE WILLIAMS & CO. INC.|MORSE WILLIAMS & CO. INC.|230 PARK AVENUE SUITE 1635||NEW YORK NY 10169|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
Northeast Regional Office| 106012|801-37170|CREDIT SUISSE ASSET MANAGEMENT, LLC|CREDIT SUISSE ASSET MANAGEMENT, LLC|466 LEXINGTON AVENUE||NEW YORK NY 10017|USA|||  ||AJAY MEHRA|212-875-3837|Limited Liability Company|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|7|1|0|0|0
Northeast Regional Office| 106018|801-10571|TRAIN, BABCOCK ADVISORS LLC|TRAIN, BABCOCK ADVISORS LLC|100 PARK AVENUE|27TH FLOOR|NEW YORK NY 10017|USA|||  ||MILDRED LENNETT|(212) 451-3434|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|01/27/1975|0|2|0|0|0|0
Northeast Regional Office| 106031|801-53683|GRANUM CAPITAL MANAGEMENT LLC|GRANUM CAPITAL MANAGEMENT LLC|126 EAST 56TH ST||NEW YORK NY 10022|USA|||  ||SIEGEL, JONAS B|212-407-3400|Limited Liability Company|Portfolio management for investment companies|APPROVED|01/17/1997|0|0|0|0|0|0
Northeast 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 D|(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
Northeast Regional Office| 106070|801-32046|SALOMON BROTHERS ASSET MANAGEMENT INC|SALOMON BROTHERS ASSET MANAGEMENT INC|399 PARK AVENUE||NEW YORK NY 10022|USA|||  ||BARBARA BROOKE MANNING|212-559-7917|Corporation|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|05/13/1988|0|3|2|0|0|0
Northeast 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
Northeast 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 businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Other|APPROVED|09/23/1994|0|0|0|0|0|0
Northeast 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
Northeast 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
Northeast Regional Office| 106123|801-46798|LAWRENCE CAPITAL MANAGEMENT INC|LAWRENCE CAPITAL MANAGEMENT INC|708 THIRD AVENUE|5TH FLOOR|NEW YORK NY 10017-4201|USA|||  ||NATOLE, MARIA|212-209-2988|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|06/24/1994|0|0|1|0|0|0
Northeast 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
Northeast Regional Office| 106138|801-39310|SINGER HOWARD ASSOCIATES|SINGER HOWARD ASSOCIATES|740 HWY 34||MATAWAN NJ 07747|USA|||  ||SINGER, CAROL BOHANEK|732-583-1214|Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|06/27/1991|0|0|0|0|0|0
Northeast 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|||  ||FRANK MCGEE|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
Northeast Regional Office| 106154|801-46755|HARTWELL J M LTD PARTNERSHIP|HARTWELL J M LTD PARTNERSHIP|515 MADISON AVE||NEW YORK NY 10022|USA|||  ||ROMEO,BARBARA N|212-308-3355|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/13/1994|0|1|0|0|0|0
Northeast Regional Office| 106170|801-52211|P. SCHOENFELD ASSET MANAGEMENT LLC|P. SCHOENFELD ASSET MANAGEMENT LLC|1330 AVENUE OF THE AMERICAS, 34TH FLOOR||NEW YORK NY 10019|USA|||  ||ARGENZIANO, FRANK|212 649-9511|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/24/1996|0|1|0|0|0|0
Northeast Regional Office| 106181|801-49390|SONTAG ADVISORY LLC|SONTAG ADVISORY LLC|261 MADISON AVE 14TH FLOOR||NEW YORK NY 10016|USA|||  ||CRAIG M. FASANO|(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
Northeast Regional Office| 106186|801-47230|REICH & TANG ASSET MANAGEMENT, LLC|REICH & TANG ASSET MANAGEMENT,LLC|600 FIFTH AVE||NEW YORK NY 10020-2302|USA|||  ||APPLETON, MICHAEL D.|212-830-5494|Limited Liability Company|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|0|0|0|0|0
Northeast Regional Office| 106199|801-51163|PRESTIGE ASSET MANAGEMENT SERVICES INC|PRESTIGE ASSET MANAGEMENT SERVICES 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
Northeast 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
Northeast 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|1|0|0|0|0
Northeast Regional Office| 106219|801-53936|ENTRUST CAPITAL INC.|ENTRUST CAPITAL INC.|717 5TH AVENUE||NEW YORK NY 10022|USA|||  ||ZELENKO, JILL|212-224-5506|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
Northeast 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|1|0|0|0|0
Northeast 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
Northeast Regional Office| 106251|801-53846|GLOBAL INVESTMENT MANAGEMENT|GLOBAL INVESTMENT MANAGEMENT|821 ALEXANDER ROAD,  SUITE 115||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
Northeast 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
Northeast 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
Northeast Regional Office| 106264|801-15106|ROCKEFELLER & CO., INC|ROCKEFELLER & CO., INC|30 ROCKEFELLER PLAZA|ROOM 5400|NEW YORK NY 10112|USA|||  ||MUELLER, PAULA J.|212-649-5664|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|03/12/1980|0|0|0|0|0|0
Northeast Regional Office| 106266|801-27721|COHEN & STEERS CAPITAL MANAGEMENT INC.|COHEN & STEERS CAPITAL MANAGEMENT, INC.|280 PARK AVE|10TH FLOOR|NEW YORK NY 10017|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
Northeast 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
Northeast 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)|APPROVED|06/22/1995|0|0|0|0|0|0
Northeast Regional Office| 106286|801-45566|ZIMMERMANN ALAN L|ZIMMERMANN ALAN L|C/O RZ CAPITAL LLC|40 EAST 52ND STREET 23RD 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
Northeast 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|1|0|0|0|0
Northeast Regional Office| 106297|801-42753|UTENDAHL CAPITAL MANAGEMENT LP|UTENDAHL CAPITAL MANAGEMENT LP|30 BROAD ST|21ST FLOOR|NEW YORK NY 10004|USA|||  ||PHILIP A. DINA|212-612-9158|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/25/1992|0|2|0|0|0|0
Northeast 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|1|0|0|0|0
Northeast Regional Office| 106307|801-44169|AVIEMORE ASSET MANAGEMENT, LLC|AVIEMORE ASSET MANAGEMENT, LLC|20 PHELPS ROAD||OLD CHATHAM NY 12136|USA|PO BOX 103||OLD CHATHAM NY 12136|USA|FRANK, PAUL MICHAEL|518 392 580|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
Northeast 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), Pension consulting services|APPROVED|07/25/1994|0|0|0|0|0|0
Northeast 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|1|0|0|0|0
Northeast Regional Office| 106317|801-38553|SAUBERAN & COMPANY LTD|SAUBERAN & COMPANY LTD|32 PROFESSIONAL PKWY||LOCKPORT NY 14094|USA|PO BOX||ORCHARD PARK NY 14127-0466|US|SAUBERAN, CHARLES K|716-439-1264|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
Northeast Regional Office| 106323|801-8314|SMITH BARNEY FUND MANAGEMENT LLC|SMITH BARNEY FUND MANAGEMENT LLC|399 PARK AVENUE|4TH FLOOR|NEW YORK NY 10022|USA|||  ||C/O THOMAS C. MANDIA, ESQ|203-890-7038|Limited Liability Company|Portfolio management for investment companies|APPROVED|12/14/1971|0|6|1|0|0|0
Northeast 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|1|0|0|0|0
Northeast Regional Office| 106326|801-27046|PETER B. CANNELL & CO., INC.|PETER B. CANNELL & CO., INC.|645 MADISON AVE||NEW YORK NY 10022|USA|||  ||MITTELMAN, PAUL|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
Northeast 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), Pension consulting services|APPROVED|09/22/1986|0|0|0|0|0|0
Northeast Regional Office| 106336|801-22873|WEALTH BUILDERS INC|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, Market timing services, Other|APPROVED|03/12/1985|0|0|0|0|0|0
Northeast 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|Portfolio management for individuals and/or small businesses, Other, Financial planning services|APPROVED|11/16/1994|0|0|0|0|0|0
Northeast 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|9|0|0|0|0
Northeast 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), Selection of other advisers|APPROVED|12/16/1991|0|0|0|0|0|0
Northeast Regional Office| 106345|801-43270|CERTIFIED FINANCIAL GROUP INC|CERTIFIED FINANCIAL GROUP INC|700 WHITE PLAINS ROAD, SUITE 334||SCARSDALE NY 10583|USA|||  ||KUVEKE, JR PAUL MARTIN|914-472-8200|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/16/1993|0|0|0|0|0|0
Northeast Regional Office| 106362|801-41894|LINDAHL CAPITAL MANAGEMENT CORP|LINDAHL CAPITAL MANAGEMENT CORP|134 HENRY STREET||BROOKLYN HEIGHTS NY 11201|USA|||  ||FLYNN, THOMAS FRANCIS|718-596-1259|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/07/1992|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 106388|801-35134|ARK ASSET MANAGEMENT CO., INC.|ARK ASSET MANAGEMENT CO., INC.|125 BROAD STREET||NEW YORK NY 10004|USA|||  ||LAURI B. LONDON|212 487-5010|Corporation|Portfolio 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
Northeast Regional Office| 106396|801-49672|FIRST ADVISORS FINANCIAL GROUP, LLC|FIRST ADVISORS FINANCIAL GROUP, LLC|2001 ROUTE 46 STE 506||PARSIPPANY NJ 07054|USA|||  ||ROLLINS, RONALD S.|973-394-0404|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/14/1995|0|1|0|0|0|0
Northeast Regional Office| 106399|801-42253|WYSER PRATTE MANAGEMENT CO INC|WYSER PRATTE MANAGEMENT CO INC|410 PARK AVENUE|SUITE 1510|NEW YORK NY 10022||||  ||SHARON O'SHEA|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
Northeast 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|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/10/1995|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 106425|801-38888|SNYDER MARK J FINANCIAL SERVICES INC|SNYDER MARK J 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
Northeast 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
Northeast 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
Northeast Regional Office| 106442|801-43479|PRUDENTIAL PRIVATE PLACEMENT INVESTORS, L.P.|PRUDENTIAL PRIVATE PLACEMENT INVESTORS, L.P.|100 MULBERRY STREET|FOUR GATEWAY CENTER|NEWARK NJ 07102-4069|USA|||  ||LEE D. AUGSBURGER|(973) 367-1388|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/31/1993|0|1|1|0|0|0
Northeast Regional Office| 106449|801-20236|KR CAPITAL ADVISORS INC|KR CAPITAL ADVISORS INC|450 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
Northeast Regional Office| 106461|801-47941|ARBOR CAPITAL MANAGEMENT CORP|ARBOR CAPITAL MANAGEMENT CORP|100 CORPORATE PKWY|SUITE 136|AMHERST NY 14226|USA|||  ||MCGOWAN, LAWRENCE T.|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
Northeast 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|1|0|0|0|0
Northeast Regional Office| 106474|801-52602|BKF ASSET MANAGEMENT, INC.|BKF ASSET MANAGEMENT, INC.|ONE ROCKEFELLER PLAZA|18TH FLOOR|NEW YORK NY 10020|USA|||  ||ADAM REBACK|(212)332-5494|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/28/1996|0|0|0|0|0|0
Northeast Regional Office| 106475|801-52365|TRAVELERS INVESTMENT ADVISER,INC.|TRAVELERS INVESTMENT ADVISER,INC.|260 MADISON AVENUE||NEW YORK NY 10016|USA|27-01 QUEENS PLAZA NORTH||NEW YORK NY 11101|USA|PATRICIA ANN UZZEL|860-308-8465|Corporation|Portfolio management for investment companies, Selection of other advisers|APPROVED|07/11/1996|0|29|0|0|0|0
Northeast Regional Office| 106477|801-37870|DAVIDSON KEMPNER ADVISERS INC|DAVIDSON KEMPNER ADVISERS INC|885 THIRD AVENUE, SUITE 3300||NEW YORK NY 10022-4834|USA|||  ||LEVIANT, SHULAMIT|212 446-4053|Corporation|Other|APPROVED|12/04/1990|0|0|0|0|0|0
Northeast Regional Office| 106478|801-41790|KR CAPITAL PARTNERS I LP|KR CAPITAL PARTNERS I LP|450 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
Northeast Regional Office| 106480|801-52640|U.S. REALTY ADVISORS LLC|U.S. REALTY ADVISORS LLC|1370 AVENUE OF THE AMERICAS|21ST FLOOR|NEW YORK NY 10019|USA|||  ||DAVID M. LEDY|(212) 581-4540|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|08/08/1996|0|0|0|0|0|0
Northeast Regional Office| 106491|801-28130|S SQUARED TECHNOLOGY CORP|S SQUARED TECHNOLOGY CORP|515 MADISON AVE|SUITE 4200|NEW YORK NY 10022-5474|USA|||  ||GOLDBLATT, SEYMOUR L|(212) 421-2155|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/10/1986|0|1|0|0|0|0
Northeast 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), Publication of periodicals or newsletters|APPROVED|01/07/1973|0|2|0|0|0|0
Northeast 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, Other|APPROVED|03/11/1994|0|0|0|0|0|0
Northeast Regional Office| 106504|801-40829|BENTLEY CAPITAL MANAGEMENT INC|BENTLEY CAPITAL MANAGEMENT INC|520 MADISON AVENUE, 13TH FLOOR||NEW YORK NY 10022|USA|||  ||FIGUEROA, IVETTE|212-583-8888|Corporation|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
Northeast Regional Office| 106517|801-43443|CITISTREET FUNDS MANAGEMENT LLC|CITISTREET FUNDS MANAGEMENT LLC|400 ATRIUM DRIVE||SOMERSET NJ 08873|USA|||  ||RENZULLI, LORI M.|732-514-2015|Limited Liability Company|Portfolio management for investment companies|APPROVED|04/06/1993|0|3|0|0|0|0
Northeast Regional Office| 106520|801-40161|INVERNESS COUNSEL INC|INVERNESS COUNSEL INC|545 MADISON 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
Northeast Regional Office| 106523|801-43897|MUTUAL OF AMERICA CAPITAL MANAGEMENT CORP.|MUTUAL OF AMERICA CAPITAL MANAGEMENT CORP.|320 PARK AVENUE||NEW YORK NY 10022|USA|||  ||LEAR,AMIR|212 224 1940|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
Northeast 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
Northeast Regional Office| 106539|801-35162|GBU INC|GBU INC|950 THIRD AVE, 22ND FLOOR||NEW YORK NY 10022|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
Northeast 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
Northeast 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
Northeast Regional Office| 106577|801-45064|CFS INVESTMENT ADVISORY SERVICES LLC|CFS INVESTMENT ADVISORY SERVICES LLC|695 ROUTE 46 WEST, SUITE 104||FAIRFIELD NJ 07004|USA|||  ||MAKOWSKI, GREGORY MARK|973-244-9001|Limited 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
Northeast 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)|APPROVED|05/17/1982|0|0|0|0|0|0
Northeast Regional Office| 106606|801-41788|DISCIPLINED CAPITAL MANAGEMENT CORP|DISCIPLINED CAPITAL MANAGEMENT CORP|101 SOUTH SALINA STREET|SUITE 750|SYRACUSE NY 13202|USA|||  ||RYAN, ROBERT JOHN JR|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
Northeast 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
Northeast Regional Office| 106643|801-27858|FINANCIAL ASSET MANAGEMENT CORP|FINANCIAL ASSET MANAGEMENT CORP|1 WEST 34TH STREET, SUITE 1201||NEW YORK NY 10001|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
Northeast 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 businesses or institutional clients (other than investment companies)|APPROVED|05/08/1974|0|1|0|0|0|0
Northeast 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
Northeast Regional Office| 106656|801-46765|PINE GROVE ASSOCIATES,INC|PINE GROVE ASSOCIATES,INC|25 DEFOREST AVENUE||SUMMIT NJ 07901|USA|||  ||NATASHA FEDOROW|908-273-6321|Corporation|Selection of other advisers|APPROVED|07/01/1994|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 106661|801-53609|RENAISSANCE TECHNOLOGIES CORP.|RENAISSANCE TECHNOLOGIES CORP.|800 THIRD AVENUE||NEW YORK NY 10022|USA|||  ||SILBER, MENDEL MARK|212-486-6780|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|01/12/1998|0|1|0|0|0|0
Northeast 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
Northeast Regional Office| 106667|801-52286|HIGHLANDER CAPITAL MANAGEMENT LLC|HIGHLANDER CAPITAL MANAGEMENT LLC|119 LITTLETON ROAD||PARSIPPANY NJ 07054|USA|||  ||MACWRIGHT, DOUGLAS 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
Northeast Regional Office| 106673|801-45269|SANDERSON & STOCKER, INC.|SANDERSON & STOCKER, INC.|2333 NORTH TRIPHAMMER ROAD STE 201||ITHACA NY 14850-1075|USA|PO BOX 3370||ITHACA NY 14852-3370|USA|STOCKER,ALEXANDRA|607-257-5117|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/03/1994|0|0|0|0|0|0
Northeast 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
Northeast 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
Northeast 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
Northeast 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|MARTIN, PETER|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|37|1|0|0|0
Northeast Regional Office| 106716|801-49805|BENNETT LAWRENCE MANAGEMENT LLC|BENNETT LAWRENCE MANAGEMENT LLC|757 THIRD AVENUE, 19TH FLOOR||NEW YORK NY 10017|USA|||  ||FISHER, JANE H.|212-508-6408|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/07/1995|0|0|0|0|0|0
Northeast Regional Office| 106719|801-42744|RUNNYMEDE CAPITAL MANAGEMENT INC|RUNNYMEDE CAPITAL MANAGEMENT INC|5 COLD HILL RD SOUTH|SUITE 5|MENDHAM NJ 07945|USA|P.O. BOX 359||MENDHAM NJ 07945-0359|US|WANG, PAULINE FUNG|973 543-1400|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|12/03/1992|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 106736|801-16633|TCW ADVISORS INC|TCW ADVISORS INC|200 PARK AVENUE|SUITE 2200|NEW YORK NY 10166|USA|||  ||MICHELE DANTON|213-244-0542|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/30/1981|0|0|1|0|0|0
Northeast Regional Office| 106740|801-54100|RESURGENCE ASSET MANAGEMENT,LLC|RESURGENCE ASSET MANAGEMENT, L.L.C.|10 NEW KING STREET||WHITE PLAINS NY 10604|USA|||  ||MARC S. KIRSCHNER|914 288 8600|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
Northeast 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
Northeast Regional Office| 106750|801-6709|FRED ALGER MANAGEMENT, INC|FRED ALGER MANAGEMENT, INC|111 FIFTH AVENUE||NEW YORK NY 10003|USA|||  ||HAL LIEBES|(201) 547-3638|Corporation|Portfolio 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|4|2|0|0|0
Northeast Regional Office| 106752|801-47062|CUMMINGS & CARROLL PC|CUMMINGS & CARROLL PC|175 GREAT NECK RD||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
Northeast Regional Office| 106758|801-33850|HOGAN KNOTTS FINANCIAL GROUP|THE HOGAN-KNOTTS FINANCIAL GROUP, INC.|298 BROAD ST||RED BANK NJ 07701|USA|||  ||HOGAN, ROBERT EDWARD|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
Northeast 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|0|0|0|0|0
Northeast Regional Office| 106783|801-50449|NEEDHAM INVESTMENT MANAGEMENT, LLC|NEEDHAM INVESTMENT MANAGEMENT, LLC|445 PARK AVENUE, 15TH FLOOR||NEW YORK NY 10022|USA|||  ||BRYAN MARTOKEN|212-705-0311|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/17/1995|0|4|1|0|0|0
Northeast 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
Northeast Regional Office| 106788|801-49482|SIGULER GUFF ADVISERS LLC|SIGULER GUFF ADVISERS LLC|825 THIRD AVENUE||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
Northeast 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
Northeast 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
Northeast Regional Office| 106825|801-53625|TROON MANAGEMENT LLC|TROON 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|02/11/1997|0|3|0|0|0|0
Northeast Regional Office| 106835|801-17316|CLAY FINLAY INC|CLAY FINLAY INC|200 PARK AVE||NEW YORK NY 10166|USA|||  ||D. ARTHUR BARTON|(212)692-8000|Corporation|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
Northeast Regional Office| 106842|801-48934|BLACKROCK (JAPAN) INC.|BLACKROCK (JAPAN) INC.|40 EAST 52ND STREET||NEW YORK NY 10022|USA|||  ||BATTISTA, BARTHOLOMEW|212-810-3423|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/20/1995|0|5|1|0|0|0
Northeast Regional Office| 106846|801-50054|RUMSON CAPITAL LLC|RUMSON CAPITAL LLC|GALLERIA BLDG. 3, 2ND FLOOR|2 BRIDGE AVENUE|RED BANK NJ 07701-1106|USA|||  ||CARLTON R. SWICK|(732) 450-7457|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/15/1995|0|0|0|0|0|0
Northeast Regional Office| 106847|801-50838|PZENA INVESTMENT MANAGEMENT LLC|PZENA INVESTMENT MANAGEMENT LLC|120 WEST 45TH STREET, 20TH FLOOR||NEW YORK NY 10036|USA|||  ||JOAN F. BERGER|212-583-1291|Limited Liability Company|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|12/15/1995|0|0|1|0|0|0
Northeast Regional Office| 106848|801-37715|GEM CAPITAL MANAGEMENT, INC.|GEM CAPITAL MANAGEMENT, INC.|950 THIRD AVE, 22ND FLOOR||NEW YORK NY 10022|USA|||  ||BODOW, ERIK M.|212-753-0700|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
Northeast 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
Northeast 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|||  ||EADY, ANNIE L.|908-605-2070|Corporation|Selection of other advisers, Other|APPROVED|09/30/1993|0|0|0|0|0|0
Northeast Regional Office| 106857|801-53022|ANTHONY CAPITAL MANAGEMENT INC|ANTHONY CAPITAL MANAGEMENT INC|650 FIFTH AVENUE - 6TH FLOOR||NEW YORK NY 10019|USA|||  ||RYAN SYLVESTER|212-259-2630|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/02/1996|0|0|0|0|0|0
Northeast Regional Office| 106861|801-31832|WILLIAMS, JONES & ASSOCIATES,INC.|WILLIAMS, JONES & ASSOCIATES,INC.|717 FIFTH AVE|SUITE 1700|NEW YORK NY 10022|USA|||  ||JONES, WILLIAM P., JR.|212-935-8753|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
Northeast 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|||  ||RITA MASELLI|212-840-1781|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/08/1970|0|1|0|0|0|0
Northeast Regional Office| 106863|801-18766|JULIUS BAER INVESTMENT MANAGEMENT LLC|JULIUS BAER INVESTMENT 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)|APPROVED|04/13/1983|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 106867|801-43464|OMEGA ADVISORS,INC.|OMEGA ADVISORS,INC.|88 PINE STREET, 31ST FL|WALL STREET PLAZA|NEW YORK NY 10005|USA|||  ||DENIS WONG|212-495-7067|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/12/1993|0|0|0|0|0|0
Northeast 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
Northeast 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
Northeast 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
Northeast 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|1|0|0|0|0
Northeast 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
Northeast 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, CFA|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
Northeast 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), Other|APPROVED|01/02/1997|0|0|0|0|0|0
Northeast Regional Office| 106998|801-32361|ALLIANCEBERNSTEIN HOLDING L.P.|ALLIANCEBERNSTEIN HOLDING L.P.|1345 AVENUE OF THE AMERICAS||NEW YORK NY 10105|USA|||  ||JEFF W. SILVER|(212) 969-1639|Other (specify)|Other|APPROVED|04/21/1988|0|24|0|0|0|0
Northeast Regional Office| 107020|801-28075|MONITORING & EVALUATION SERVICES INC|MONITORING & EVALUATION SERVICES INC|3375 PARK AVENUE, STE 3006||WANTAGH NY 11793|USA|||  ||RENCK, JOHN T.|5167812000|Corporation|Pension consulting services|APPROVED|10/03/1986|0|0|0|0|0|0
Northeast 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|||  ||RUDOLPH, PETER ALEX|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
Northeast Regional Office| 107038|801-21011|JPMORGAN ASSET MANAGEMENT|J.P. MORGAN INVESTMENT MANAGEMENT INC.|522 FIFTH AVE||NEW YORK NY 10036|USA|||  ||FRANCIS X. CURLEY|212-837-1275|Corporation|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|04/04/1984|0|1|3|0|0|0
Northeast 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
Northeast 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
Northeast Regional Office| 107067|801-56705|MADISON PORTFOLIO CONSULTANTS INC.|MADISON PORTFOLIO CONSULTANTS INC.|21 EAST 40TH STREET|SUITE 2001|NEW YORK NY 10016|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
Northeast 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
Northeast Regional Office| 107076|801-53561|BAY HARBOUR MANAGEMENT LC|BAY HARBOUR MANAGEMENT LC|885 THIRD AVENUE|34TH FLOOR|NEW YORK NY 10022|USA|10124 FOXHURST COURT||ORLANDO FL 32836|USA|MAYSE,SHELLY C|407-345-8332|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
Northeast 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 investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/01/1988|0|0|0|0|0|0
Northeast 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
Northeast 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|1|0|0|0
Northeast Regional Office| 107108|801-46036|BRAMWELL CAPITAL MANAGEMENT INC|BRAMWELL CAPITAL MANAGEMENT INC|745 FIFTH AVENUE||NEW YORK NY 10151|USA|||  ||ALLISON, DONALD G.|(212) 308-1296|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/11/1994|0|0|0|0|0|0
Northeast 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
Northeast 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
Northeast Regional Office| 107157|801-46887|TEACHERS ADVISORS, INC.|TEACHERS ADVISORS, INC.|730 THIRD AVE|9TH FLR|NEW YORK NY 10017|USA|||  ||GREENE, STEWART P.|212-916-5954|Corporation|Portfolio 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
Northeast Regional Office| 107162|801-37198|SECURITY ASSET MANAGEMENT INC|SECURITY ASSET MANAGEMENT INC|65 EAST 55 STREET|SUITE 2305|NEW YORK NY 10022-3219|USA|||  ||AMBROSIO, JOHANNA F|(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
Northeast Regional Office| 107168|801-38029|TIAA-CREF INVESTMENT MANAGEMENT LLC|TIAA-CREF INVESTMENT MANAGEMENT LLC|730 THIRD AVE|9TH FLR|NEW YORK NY 10017|USA|||  ||GREENE, STEWART P.|212-916-5954|Limited Liability Company|Portfolio management for investment companies|APPROVED|12/31/1990|0|0|0|0|0|0
Northeast 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
Northeast 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
Northeast Regional Office| 107200|801-38363|MBIA MUNICIPAL INVESTORS SERVICES CORPORATION|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
Northeast 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
Northeast 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
Northeast Regional Office| 107223|801-23822|TREMONT PARTNERS INC|TREMONT PARTNERS INC|555 THEODORE FREMD AVENUE||RYE NY 10580|USA|||  ||MCCORMICK, JAMES|914-925-1140|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|04/18/1985|0|19|1|0|0|0
Northeast 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
Northeast 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|||  ||CHESTER, SUSAN|(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
Northeast Regional Office| 107275|801-53493|PINNACLE ADVISORS LLC|PINNACLE ADVISORS LLC|5710 COMMONS PARK||E. SYRACUSE NY 13057|USA|||  ||MICHAEL SAMORAJ|315.251.1101|Limited Liability Company|Portfolio management for investment companies|APPROVED|12/19/1996|0|0|0|0|0|0
Northeast 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
Northeast 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
Northeast 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
Northeast Regional Office| 107311|801-21435|CITISTREET FINANCIAL SERVICES LLC|CITISTREET FINANCIAL SERVICES LLC|400 ATRIUM DRIVE||SOMERSET NJ 08873|USA|||  ||LORI M. RENZULLI|(732) 514-2015|Limited Liability Company|Financial planning services, Market timing services|APPROVED|05/31/1984|0|3|0|0|0|0
Northeast 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 investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|12/16/1992|0|1|0|0|0|0
Northeast 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|||  ||CYNTHIA A. GIBBONS|713-831-4230|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Selection of other advisers|APPROVED|09/16/1983|0|4|1|0|0|0
Northeast 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
Northeast 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
Northeast Regional Office| 107364|801-51739|LEXINGTON ADVISORS INC|LEXINGTON ADVISORS INC|660 MADISON AVENUE, 23RD FLOOR||NEW YORK NY 10021|USA|||  ||MARGARET C. PATALINO|(212)754-0411|Corporation|Other|APPROVED|05/13/1996|0|0|0|0|0|0
Northeast Regional Office| 107367|801-54142|ROBECO INSTITUTIONAL ASSET MANAGEMENT US INC|ROBECO INSTITUTIONAL ASSET MANAGEMENT US INC|C/O ROBECO USA, INC.|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
Northeast Regional Office| 107378|801-47557|TAIB SECURITIES INC|TAIB SECURITIES INC|450 PARK AVENUE, STE 1902||NEW YORK NY 10022-2605|USA|||  ||MARVA JOSEPH|(212) 832-7137|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/11/1994|0|0|0|0|0|0
Northeast Regional Office| 107387|801-48913|HUDSON VALLEY INVESTMENT ADVISORS INC|HUDSON VALLEY INVESTMENT ADVISORS 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 individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/07/1995|0|0|0|0|0|0
Northeast 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
Northeast 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|||  ||MICHAEL D. YOUNG|9087350448|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|10/06/1995|0|0|0|0|0|0
Northeast 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
Northeast 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
Northeast 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
Northeast 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
Northeast 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 R. MANLEY|(212) 969-1337|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/23/1993|0|24|0|0|0|0
Northeast Regional Office| 107439|801-40414|ALLIANCEBERNSTEIN GLOBAL DERIVATIVES CORPORATION|ALLIANCEBERNSTEIN GLOBAL DERIVATIVES CORPORATION|1345 AVENUE OF THE AMERICAS||NEW YORK NY 10105|USA|||  ||JEFF W. SILVER|(212) 969-1639|Corporation|Other|APPROVED|12/17/1991|0|24|0|0|0|0
Northeast Regional Office| 107445|801-39910|ALLIANCEBERNSTEIN CORPORATION|ALLIANCEBERNSTEIN CORPORATION|1345 AVENUE OF THE AMERICAS||NEW YORK NY 10105|USA|||  ||JEFF W. SILVER|(212) 969-1639|Corporation|Other|APPROVED|11/04/1991|0|24|0|0|0|0
Northeast Regional Office| 107478|801-50751|FLETCHER ASSET MANAGEMENT, INC.|FLETCHER ASSET MANAGEMENT, INC.|452 5TH AVE FL 29|HSBC TOWER|NEW YORK NY 10018-2752|USA|||  ||PATRICK HUVANE|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
Northeast Regional Office| 107486|801-41741|PARAGON CAPITAL MANAGEMENT CORP|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
Northeast Regional Office| 107497|801-43158|WHIPPOORWILL ASSOCIATES INC|WHIPPOORWILL ASSOCIATES INC|11 MARTINE AVE||WHITE PLAINS NY 10606|USA|||  ||SHELLEY GREENHAUS|914-683-1002|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/26/1993|0|0|0|0|0|0
Northeast 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
Northeast 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|APPROVED|06/24/1996|0|1|0|0|0|0
Northeast Regional Office| 107533|801-44062|SHIKIAR ASSET MANAGEMENT INC|SHIKIAR ASSET MANAGEMENT INC|605 THIRD AVENUE||NEW YORK NY 10158|USA|||  ||DIANE MCDERMOTT|212-476-9880|Corporation|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
Northeast 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
Northeast 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
Northeast 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
Northeast Regional Office| 107584|801-45224|INVESCO PRIVATE CAPITAL, INC.|INVESCO PRIVATE CAPITAL INC|1166 AVE OF THE AMERICAS||NEW YORK NY 10036|USA|||  ||BRIAN K. KAWAKAMI|212-278-9122|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
Northeast Regional Office| 107585|801-41174|ALTER ASSET MANAGEMENT INC|ALTER ASSET MANAGEMENT INC|731 ALEXANDER ROAD|SUITE 301|PRINCETON NJ 08540|USA|||  ||HOWARD T. ALTER|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
Northeast 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
Northeast 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|||  ||BRIAN K. KAWAKAMI|212-278-9122|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
Northeast 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|2|0|0|0|0
Northeast Regional Office| 107637|801-27180|OPCAP ADVISORS LLC|OPCAP ADVISORS LLC|1345 AVENUE OF THE AMERICAS|49TH FLOOR|NEW YORK NY 10105-4800|USA|888 SAN CLEMENTE DRIVE|SUITE 100|NEWPORT BEACH CA 92660|UNITED STATES|JESSICA CARUSO|(212) 739-3195|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/09/1986|0|0|1|0|0|0
Northeast 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
Northeast Regional Office| 107668|801-37888|MARQUE MILLENNIUM CAPITAL MANAGEMENT LLC|MARQUE MILLENNIUM CAPITAL MANAGEMENT LLC|350 MADISON AVENUE, 8TH 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
Northeast 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 investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/01/1982|0|0|0|0|0|0
Northeast 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
Northeast 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
Northeast Regional Office| 107695|801-41108|CARL MARKS MANAGEMENT CO LP|CARL MARKS MANAGEMENT CO LP|900 THIRD AVENUE - 33RD FLOOR||NEW YORK NY 10022|USA|||  ||LAUREN REYNOLDS|212-909-8442|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/25/1992|0|0|0|0|0|0
Northeast Regional Office| 107707|801-21972|RESERVE MANAGEMENT CO., INC.|RESERVE MANAGEMENT CO., INC.|C/O RESERVE FUND|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
Northeast Regional Office| 107717|801-5594|MACKAY SHIELDS LLC|MACKAY SHIELDS LLC|9 WEST 57TH ST||NEW YORK NY 10019|USA|||  ||ELLEN METZGER|(212) 230-3859|Limited Liability Company|Portfolio 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|46|4|0|0|0
Northeast Regional Office| 107718|801-52142|THE MDE GROUP, INC.|THE MDE GROUP, INC.|500 LANIDEX PLAZA||PARSIPPANY NJ 07054|USA|||  ||GLENN MYERS|973-887-4900|Corporation|Financial planning 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
Northeast Regional Office| 107726|801-60476|UBS INTERNATIONAL INC.|UBS INTERNATIONAL INC.|101 PARK AVENUE||NEW YORK NY 10178|USA|||  ||JOSEPH F. SCAVO|(212) 916-2110|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|08/31/2001|1|58|4|0|0|0
Northeast Regional Office| 107734|801-50059|GARY GOLDBERG VIP INC|GARY GOLDBERG VIP INC|MONTEBELLO PARK|75 MONTEBELLO RD|SUFFERN NY 10901|USA|||  ||GARY M. GOLDBERG|845-368-2900|Corporation|Other|APPROVED|10/16/1995|0|3|0|0|0|0
Northeast Regional Office| 107738|801-37591|GOLDMAN SACHS ASSET MANAGEMENT, L.P.|GOLDMAN SACHS ASSET MANAGEMENT, L.P.|32 OLD SLIP 24TH FLOOR||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|48|0|0|0|0
Northeast Regional Office| 107755|801-39858|FINANCIAL DECISIONS INC|FINANCIAL DECISIONS INC|780 THIRD AVENUE|19TH FLOOR|NEW YORK NY 10017|USA|||  ||LINDA SCHOENTHALER|212-920-3480|Corporation|Financial planning services, Portfolio management 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
Northeast Regional Office| 107763|801-46380|ARISTA INVESTMENT ADVISORS, LTD.|ARISTA INVESTMENT ADVISORS, LTD.|255 WASHINGTON AVENUE EXTENSION||ALBANY NY 12205|USA|||  ||KARIN LOPEZ|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
Northeast 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
Northeast Regional Office| 107769|801-54763|HUDSON ADVISOR SERVICES, INC.|HUDSON ADVISOR SERVICES, INC.|237 MAIN STREET|SUITE 600|BUFFALO NY 14203|USA|||  ||WILLIAM NORTON HUDSON, 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), Selection of other advisers|APPROVED|08/01/1997|0|0|0|0|0|0
Northeast Regional Office| 107786|801-56141|MARKSTON INTERNATIONAL LLC|MARKSTON INTERNATIONAL LLC|50 MAIN ST||WHITE PLAINS NY 10606|USA|||  ||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
Northeast Regional Office| 107791|801-54418|GABELLI FIXED INCOME LLC|GABELLI FIXED INCOME LLC|ONE CORPORATE CENTER||RYE NY 10580-1422|USA|||  ||CHRISTOPHER S. MICHAILOFF|914-921-5000|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/27/1997|0|0|0|0|0|0
Northeast Regional Office| 107797|801-57261|ESTABROOK CAPITAL MANAGEMENT|ESTABROOK CAPITAL MANAGEMENT LLC|1633 BROADWAY|30TH FLOOR|NEW YORK NY 10019-6708|USA|||  ||KORRINE N. SHEERIN|646-710-8500|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), Other|APPROVED|02/09/2000|0|0|0|0|0|0
Northeast 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 ZACK|212-323-0250|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/12/2000|0|21|1|0|0|0
Northeast Regional Office| 107818|801-60102|SUMMIT FINANCIAL STRATEGIES, INC|SUMMIT FINANCIAL STRATEGIES, INC|100 SYLVAN PARKWAY||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
Northeast 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
Northeast 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, Other|APPROVED|02/02/1994|0|0|0|0|0|0
Northeast 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
Northeast 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
Northeast Regional Office| 107848|801-60178|MEHTA PARTNERS LLC|MEHTA PARTNERS LLC|584 BROADWAY|SUITE 1206|NEW YORK NY 10012-3229|USA|||  ||AMITA RODMAN MEHTA|212-343-4300|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|05/11/2001|0|0|0|0|0|0
Northeast Regional Office| 107850|801-55755|GOLDMAN SACHS HEDGE FUND STRATEGIES LLC|GOLDMAN SACHS HEDGE FUND STRATEGIES LLC|701 MOUNT LUCAS RD||PRINCETON NJ 08540|USA|CN 850||PRINCETON NJ 08542|USA|NATALIE M. GALL|609 497-5685|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
Northeast 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|||  ||SVEN E. HSIA|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
Northeast Regional Office| 107854|801-55350|P. SCHOENFELD ASSET MANAGEMENT INTL LLC|P. SCHOENFELD ASSET MANAGEMENT INTL LLC|1330 AVENUE OF THE AMERICAS, 34TH FLOOR||NEW YORK NY 10019|USA|||  ||FRANK ARGENZIANO|212-649-9511|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/16/1998|0|1|0|0|0|0
Northeast 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|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
Northeast 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
Northeast Regional Office| 107883|801-56963|ASCENT/MEREDITH PORTFOLIO MANAGEMENT INC|ASCENT/MEREDITH PORTFOLIO MANAGEMENT INC|712 FIFTH AVENUE||NEW YORK NY 10019|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), Other|APPROVED|11/10/1999|0|0|0|0|0|0
Northeast Regional Office| 107886|801-28901|CHUBB ASSET MANAGERS|CHUBB ASSET MANAGERS INC|15 MOUNTAIN VIEW RD||WARREN NJ 07061|USA|||  ||MICHAEL O'RIELLY|908-903-3764|Corporation|Portfolio management for investment companies|APPROVED|02/06/1987|0|0|0|0|0|0
Northeast Regional Office| 107911|801-55244|CRAMER ROSENTHAL MCGLYNN LLC|CRAMER ROSENTHAL MCGLYNN LLC|520 MADISON AVE||NEW YORK NY 10022|USA|||  ||ELIZABETH A. COLEY|(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
Northeast Regional Office| 107913|801-56729|OZ MANAGEMENT LLC|OZ MANAGEMENT LLC|9 WEST 57TH STREET, 39TH FL||NEW YORK NY 10019|USA|||  ||JOEL M. FRANK|212-790-0160|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/29/1999|0|0|0|0|0|0
Northeast Regional Office| 107940|801-56043|ENTRUST PARTNERS LLC|ENTRUST PARTNERS LLC|717 FIFTH AVENUE||NEW YORK NY 10022|USA|||  ||JILL ZELENKO|(212) 224-5506|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|11/17/1998|0|0|0|0|0|0
Northeast 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|||  ||JOHN MYKLUSCH|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
Northeast 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
Northeast 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
Northeast 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
Northeast 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
Northeast 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
Northeast Regional Office| 107982|801-47403|PARADIGM CAPITAL MANAGEMENT, INC.|PARADIGM CAPITAL MANAGEMENT, INC.|NINE ELK STREET||ALBANY NY 12207|USA|||  ||DAVID J. DELUCA|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
Northeast Regional Office| 107987|801-54831|FAIRHOLME CAPITAL MANAGEMENT LLC|FAIRHOLME CAPITAL MANAGEMENT, L.L.C.|51 JFK PARKWAY||SHORT HILLS NJ 07078-2704|USA|||  ||KEITH D. TRAUNER|973-379-6557|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/21/1997|0|6|0|0|0|0
Northeast 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
Northeast Regional Office| 107993|801-57039|RAMIUS CAPITAL GROUP LLC|RAMIUS CAPITAL GROUP LLC|666 THIRD AVE, 26TH FLOOR||NEW YORK NY 10017|USA|||  ||MARRAN H. OGILVIE|212-845-7909|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
Northeast Regional Office| 108008|801-55111|OPTIMUM GROWTH ADVISORS,LLC|OPTIMUM GROWTH ADVISORS,LLC|505 PARK AVENUE|20TH FLOOR|NEW YORK NY 10022|USA|||  ||DIANE ENGLERT CHRISTIAN|781-631-9228|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/05/1998|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 108035|801-56588|ENTRUST PARTNERS OFFSHORE LLC|ENTRUST PARTNERS OFFSHORE LLC|717 FIFTH AVE||NEW YORK NY 10022|USA|||  ||JILL ZELENKO|(212) 224-5506|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/04/1999|0|0|0|0|0|0
Northeast 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), Selection of other advisers|APPROVED|12/10/1999|0|0|0|0|0|0
Northeast Regional Office| 108041|801-55512|ROWE MITCHELL L|ROWE MITCHELL L|6 STEAD COURT||VOORHEES NJ 08043|USA|||  ||MITCHELL L. ROWE|856-424-2948|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|05/05/1998|0|0|0|0|0|0
Northeast Regional Office| 108049|801-57798|ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC|ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC|1345 AVENUE OF THE AMERICAS|49TH FLOOR|NEW YORK NY 10105-4800|USA|888 SAN CLEMENTE DRIVE|SUITE 100|NEWPORT BEACH CA 92660|UNITED STATES|KEVIN MURPHY|(212) 739-3220|Limited Liability Company|Portfolio management for investment companies|APPROVED|07/27/2000|0|2|2|0|0|0
Northeast Regional Office| 108053|801-55879|SUMMIT FAMILY WEALTH COUNSELING INC|SUMMIT FAMILY WEALTH COUNSELING INC|4 CAMPUS DRIVE||PARSIPPANY NJ 07054|USA|||  ||JOAN M. MAHER|973-285-3600|Corporation|Financial planning services|APPROVED|09/14/1998|0|0|0|0|0|0
Northeast Regional Office| 108055|801-56920|SUMMIT INVESTMENTS MANAGEMENT LLC|SUMMIT INVESTMENTS MANAGEMENT LLC|4 CAMPUS DRIVE||PARSIPPANY NJ 07054|USA|||  ||JOAN M. MAHER|973 285-3655|Limited Liability Company|Other|APPROVED|10/20/1999|0|0|0|0|0|0
Northeast Regional Office| 108057|801-54740|ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC|ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC|1345 AVENUE OF THE AMERICAS|49TH FLOOR|NEW YORK NY 10105|USA|888 SAN CLEMENTE DRIVE|SUITE 100|NEWPORT BEACH CA 92660|UNITED STATES|JESSICA CARUSO|(212) 739-3195|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
Northeast Regional Office| 108075|801-57513|JEFFERIES ADVISERS, INC.|JEFFERIES ADVISERS, INC.|520 MADISON AVENUE|12TH FLOOR|NEW YORK NY 10022|USA|||  ||ROLAND T. KELLY|212-284-2316|Corporation|Other|APPROVED|04/27/2000|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 108078|801-56520|EIM MANAGEMENT USA INC|EIM MANAGEMENT USA INC|750 LEXINGTON AVENUE, 27TH FLOOR||NEW YORK NY 10022|USA|||  ||STEVE PHILP|212-371-9000|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|05/24/1999|0|0|0|0|0|0
Northeast Regional Office| 108088|801-55148|HOLDEN SECURITIES MANAGEMENT INC|HOLDEN SECURITIES MANAGEMENT INC|2 SPANISH COVE ROAD||LARCHMONT NY 10538|USA|P.O. BOX 268||LARCHMONT NY 10538|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
Northeast 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
Northeast 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)|APPROVED|09/13/2000|0|0|0|0|0|0
Northeast Regional Office| 108112|801-57722|MERLIN BIOMED INVESTMENT ADVISORS, LLC|MERLIN BIOMED INVESTMENT ADVISORS, LLC|230 PARK AVE|STE 928|NEW YORK NY 10169|USA|||  ||NORMAN S. SCHLEIFER|646-227-5235|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/17/2000|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 108120|801-55938|NANCY A SOCHA & ASSOCIATES, LLC|SOCHA NANCY ANN|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
Northeast 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 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
Northeast 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
Northeast 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
Northeast 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, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/31/1998|0|3|0|0|0|0
Northeast 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
Northeast Regional Office| 108183|801-55829|VAHANIAN & ASSOCIATES FINANCIAL PLANNING INC|VAHANIAN & ASSOCIATES FINANCIAL PLANNING INC|10 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
Northeast 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|||  ||MICHELE DANTON|213-244-0542|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/08/1998|0|0|1|0|0|0
Northeast 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|0|0|0|0|0
Northeast Regional Office| 108201|801-60137|OCCAM CAPITAL MANAGEMENT, LLC|OCCAM CAPITAL MANAGEMENT, LLC|60 OFFICE PARK WAY|TOBEY VILLAGE OFFICE PARK|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
Northeast Regional Office| 108204|801-38089|DB INVESTMENT MANAGERS, INC.|DB INVESTMENT MANAGERS, INC.|280 PARK AVENUE||NEW YORK NY 10017|USA|345 PARK AVENUE|ATTN:  ANTHONY CONTE MAILSTOP NYC20-1626|NEW YORK NY 10154|USA|ANTHONY CONTE|212-454-1879|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|01/11/1991|0|2|0|0|0|0
Northeast Regional Office| 108210|801-44324|PRISM FINANCIAL GROUP INC.|PRISM FINANCIAL GROUP INC.|505 S. LENOLA ROAD, SUITE 211||MOORESTOWN NJ 08057|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
Northeast 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
Northeast 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|1|0|0|0|0
Northeast 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|1|0|0|0|0
Northeast Regional Office| 108237|801-49079|MIDAS MANAGEMENT CORPORATION|MIDAS MANAGEMENT CORPORATION|11 HANOVER SQUARE||NEW YORK NY 10005|USA|||  ||JOHN RAMIREZ|212-480-6432 X208|Corporation|Portfolio management for investment companies|APPROVED|05/09/1995|0|0|0|0|0|0
Northeast 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
Northeast 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 businesses or institutional clients (other than investment companies)|APPROVED|10/23/1986|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 108266|801-57735|BANORTE ASSET MANAGEMENT INC|BANORTE ASSET MANAGEMENT INC|540 MADISON AVENUE|36TH FLOOR|NEW YORK NY 10022|USA|||  ||EDWIN GARCIA|(212)484-5231|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/10/2000|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 108277|801-58037|MELLON HBV ALTERNATIVE STRATEGIES LLC|MELLON HBV ALTERNATIVE STRATEGIES LLC|200 PARK AVENUE, 54 FLOOR||NEW YORK NY 10166-3399|USA|||  ||JANICE HAYLES|212-922-8325|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/20/2000|0|0|0|0|0|0
Northeast Regional Office| 108279|801-56303|MERCER CAPITAL ADVISERS, INC.|MERCER CAPITAL ADVISERS, INC.|10 WEST BERGEN PLACE, SUITE 207||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
Northeast Regional Office| 108282|801-54035|JEFFERY & TEEGARDIN CAPITAL MANAGEMENT INC|JEFFERY & TEEGARDIN CAPITAL MANAGEMENT INC|BLDG 1|625 PANORAMA TRAIL|ROCHESTER NY 14625-2432|USA|||  ||LOIS GROVE JEFFERY|585-385-7900|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|03/11/1997|0|0|0|0|0|0
Northeast Regional Office| 108288|801-37592|M. D. FALK & COMPANY, INC.|M. D. FALK & COMPANY, INC.|1226 WEST BROADWAY||HEWLETT NY 11557|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
Northeast Regional Office| 108299|801-57120|SOMERSET CAPITAL ADVISERS LLC|SOMERSET CAPITAL ADVISERS LLC|10 EAST 40TH STREET|SUITE 4101|NEW YORK NY 10016|USA|||  ||MARY KING|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
Northeast 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|APPROVED|07/04/1973|0|0|0|0|0|0
Northeast 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)|APPROVED|02/27/1996|0|0|0|0|0|0
Northeast Regional Office| 108314|801-44613|AFW ASSET MANAGEMENT INC|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), Selection of other advisers|APPROVED|10/27/1993|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 108322|801-57196|FERGUSON INVESTMENT CONSULTANTS, INC.|FERGUSON INVESTMENT CONSULTANTS INC|528 BELLWOOD AVENUE||SLEEPY HOLLOW NY 10591-1336|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
Northeast Regional Office| 108329|801-11384|ASHLAND MANAGEMENT INCORPORATED|ASHLAND MANAGEMENT INCORPORATED|475 PARK AVENUE SOUTH|32ND FLOOR|NEW YORK NY 10016|USA|||  ||CHARLES C. HICKOX|(212) 400-3500|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
Northeast 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
Northeast Regional Office| 108342|801-41980|SELECT EQUITY GROUP INC|SELECT EQUITY GROUP INC|380 LAFAYETTE ST 6TH FLOOR||NEW YORK NY 10003|USA|||  ||GEORGE S. LOENING|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
Northeast 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
Northeast Regional Office| 108371|801-54979|ZAIS GROUP|ZAIS GROUP LLC|GALLERIA BLDG #3|2 BRIDGE AVE 2ND FLOOR|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)|APPROVED|10/21/1997|0|0|0|0|0|0
Northeast Regional Office| 108373|801-58053|LOMBARD ODIER DARIER HENTSCH, INC.|LOMBARD ODIER DARIER HENTSCH, INC.|12 EAST 49TH STREET|17TH FLOOR|NEW YORK NY 10017|USA|||  ||HANS-PETER GRUENIG|212-753-4400|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/30/2000|0|1|0|0|0|0
Northeast Regional Office| 108376|801-56897|PARADIGM GLOBAL ADVISORS, LLC|PARADIGM GLOBAL ADVISORS, LLC|650 FIFTH AVENUE|17TH FLOOR|NEW YORK NY 10019|USA|||  ||RON WILHELM|(212) 271-3388|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|10/27/1999|0|0|0|0|0|0
Northeast Regional Office| 108378|801-56338|RE ENTERPRISE ASSET MANAGEMENT LLC|RE/ENTERPRISE ASSET MANAGEMENT, L.L.C.|10 NEW KING STREET||WHITE PLAINS NY 10604|USA|||  ||MARC S. KIRSCHNER|914 288 8600|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
Northeast Regional Office| 108381|801-57150|RESURGENCE ASSET MANAGEMENT INTL LLC|RESURGENCE ASSET MANAGEMENT INTERNATIONAL, L.L.C.|10 NEW KING STREET||WHITE PLAINS NY 10604|USA|||  ||MARC S. KIRSCHNER|914-288-8600|Limited Liability Company|Other|APPROVED|01/14/2000|0|0|0|0|0|0
Northeast Regional Office| 108384|801-55060|CARR & ASSOCIATES INC|CARR MICHAEL F & ASSOCIATES INC|150 BROADWAY, SUITE 509||NEW YORK NY 10038|USA|||  ||JAMES D. ROSS|212-766-2520|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/25/1997|0|0|0|0|0|0
Northeast Regional Office| 108420|801-56509|GUARDIAN TRUST COMPANY, FSB|GUARDIAN TRUST COMPANY, FSB|7 HANOVER SQUARE||NEW YORK NY 10004|USA|||  ||KIERNAN, JOHN G.|(212) 598-1405|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/12/1999|0|0|0|0|0|0
Northeast Regional Office| 108433|801-57299|EXETER ADVISORS INC|EXETER ADVISORS INC|290 WOODCLIFF DRIVE||FAIRPORT NY 14450|USA|||  ||BRENDA F. OATHOUT|585-325-3102|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
Northeast Regional Office| 108442|801-56321|STRAUS CAPITAL MANAGEMENT LLC|STRAUS CAPITAL MANAGEMENT LLC|605 THIRD AVENUE, 19TH FLOOR||NEW YORK NY 10158-3698|USA|||  ||CRAIG CONNORS|(212) 476-9188|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/04/1999|0|0|0|0|0|0
Northeast Regional Office| 108469|801-55309|MERRILL LYNCH TRUST COMPANY, FSB|MERRILL LYNCH TRUST COMPANY, FSB|1300 MERRILL LYNCH DRIVE||PENNINGTON NJ 08354|USA|GLOBAL REGISTRATION & INSURANCE LICENSING|4804 DEER LAKE DR. E., 4TH FLOOR|JACKSONVILLE FL 32246|USA|GENE E. PORTER JR.|(904) 218-7922|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|03/18/1998|0|1|1|0|0|0
Northeast Regional Office| 108472|801-56749|THE CENTER FOR FINANCIAL PLANNING|CENTER FOR FINANCIAL PLANNING|26 VLY ROAD||ALBANY NY 12205-2209|USA|||  ||LOUIS MORIZIO|518-452-4394|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/20/1999|0|0|0|0|0|0
Northeast Regional Office| 108477|801-56720|ALLIANCEBERNSTEIN L.P.|ALLIANCEBERNSTEIN L.P.|1345 AVE OF THE AMERICAS||NEW YORK NY 10105|USA|||  ||JEFF W. SILVER|(212) 969-1639|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|APPROVED|08/13/1999|0|25|0|0|0|0
Northeast Regional Office| 108496|801-55260|DAVID NORR INC.|DAVID NORR INC.|31 MAMARONECK AVENUE|SUITE 604|WHITE PLAINS NY 10601|USA|||  ||DAVID NORR|914-949-7739|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|02/17/1998|0|0|0|0|0|0
Northeast 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
Northeast 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
Northeast 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|APPROVED|02/05/1999|0|0|0|0|0|0
Northeast Regional Office| 108559|801-56293|TRAINER WORTHAM & CO INC|TRAINER WORTHAM & CO INC|1230 AVENUE OF THE AMERICAS|2ND FLOOR|NEW YORK NY 10020|USA|||  ||CHRISTOPHER J. BRANCAZIO|(212)759-7755|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|02/23/1999|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 108569|801-56336|CLASSIC CAPITAL LLC|CLASSIC CAPITAL LLC|27 WOODCREST AVENUE||SHORT HILLS NJ 07078|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
Northeast Regional Office| 108573|801-58036|GRUSS ASSET MANAGEMENT L.P.|GRUSS ASSET MANAGEMENT L.P.|667 MADISON AVENUE|3RD FLOOR|NEW YORK NY 10021|USA|||  ||MARI NAKAMICHI|212-688-1500|Partnership|Other|APPROVED|10/23/2000|0|0|0|0|0|0
Northeast Regional Office| 108580|801-56817|TIAA-CREF TUITION FINANCING, INC.|TIAA-CREF TUITION FINANCING, INC.|730 THIRD AVE|9TH FLOOR|NEW YORK NY 10017|USA|||  ||MEREDITH J. KORNREICH|212-916-6973|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/10/1999|0|0|0|0|0|0
Northeast Regional Office| 108590|801-57453|ALESCO ADVISORS LLC|ALESCO ADVISORS LLC|1080 PITTSFORD VICTOR RD|BASIN TECH CTR STE 301|PITTSFORD NY 14534|USA|||  ||ROMAN, NED WHEELER|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
Northeast Regional Office| 108604|801-54909|LADENBURG THALMANN ASSET MANAGEMENT INC|LADENBURG THALMANN ASSET MANAGEMENT INC|590 MADISON AVE|34TH FLOOR|NEW YORK NY 10022|USA|||  ||STEVEN M. MULLOOLY|(212) 409-2546|Corporation|Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|10/16/1997|0|30|0|0|0|0
Northeast Regional Office| 108637|801-41495|MIO PARTNERS, INC.|MIO PARTNERS, INC.|55 EAST 52ND STREET, 29TH FL.|C/O MCKINSEY & COMPANY|NEW YORK NY 10055|USA|||  ||FRANK GOVEIA|(212) 415-1867|Corporation|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
Northeast Regional Office| 108647|801-54617|VANDERBILT CAPITAL ADVISORS LLC|VANDERBILT CAPITAL ADVISORS LLC|200 PARK AVE 20TH FLOOR||NEW YORK NY 10166-0005|USA|||  ||JAMES JOSEPH COLERIDGE, JR.|212-973-2273|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|1|0|0|0|0
Northeast 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), Pension consulting services, Selection of other advisers, Other|APPROVED|11/10/1998|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 108678|801-34161|MCBRIDE JAMES HENRY|MCBRIDE JAMES HENRY|36 WEST MAIN STREET|SUITE 322|ROCHESTER NY 14614|USA|||  ||JAMES H. MCBRIDE|585-392-3093|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/04/1989|0|0|0|0|0|0
Northeast Regional Office| 108679|801-56171|D E SHAW & CO LP|D E SHAW & CO LP|120 WEST 45TH STREET||NEW YORK NY 10036|USA|||  ||STEVEN JAY SEIDEMANN|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
Northeast 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
Northeast 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
Northeast Regional Office| 108692|801-55062|MORGENS WATERFALL VINTIADIS & CO INC|MORGENS WATERFALL VINTIADIS & CO 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
Northeast 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
Northeast Regional Office| 108697|801-55145|CITICORP TRUST BANK, FSB (TRUST DEPARTMENT)|CITICORP TRUST BANK, FSB|153 E. 53RD ST., 23RD FL.||NEW YORK NY 10043|USA|||  ||MITCHELL W. HEDSTROM|212-559-1382|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|01/08/1998|0|0|0|0|0|0
Northeast Regional Office| 108708|801-52909|MORGAN STANLEY VENTURE CAPITAL III INC|MORGAN STANLEY VENTURE CAPITAL III INC|1585 BROADWAY|38TH FLOOR, ATTN:  DEBRA ABRAMOVITZ|NEW YORK NY 10036|USA|||  ||AGATHA PAKRUDA|212-762-6190|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/30/1996|0|0|0|0|0|0
Northeast Regional Office| 108709|801-56916|MSDW VENTURE PARTNERS IV INC|MSDW VENTURE PARTNERS IV INC|1585 BROADWAY|38TH FLOOR, ATTN:  DEBRA ABRAMOVITZ|NEW YORK NY 10036|USA|||  ||AGATHA PAKRUDA|212-762-6190|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/26/1999|0|0|0|0|0|0
Northeast 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 PAKRUDA|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|0|0|0|0
Northeast 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 PAKRUDA|212-762-6190|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/17/1996|0|0|0|0|0|0
Northeast Regional Office| 108772|801-58080|COMPASS GROUP LLC|COMPASS GROUP LLC|126 EAST 56TH STREET|19TH FLOOR|NEW YORK NY 10022|USA|||  ||ANIL CRASTO|(212)355-7525|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
Northeast Regional Office| 108777|801-26605|EKS ASSOCIATES, LLC|EKS ASSOCIATES, LLC|601 EWING STREET, SUITE A-7||PRINCETON NJ 08540|USA|||  ||ELEANORE SZYMANSKI|609-921-1016|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|03/24/1986|0|0|0|0|0|0
Northeast 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|APPROVED|06/02/2000|0|0|0|0|0|0
Northeast 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
Northeast 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|0|0|0|0|0
Northeast Regional Office| 108807|801-45|BRUNDAGE, STORY AND ROSE, LLC|BRUNDAGE, STORY AND ROSE, LLC|630 FIFTH AVENUE||NEW YORK NY 10111|USA|||  ||DON JAMES ANDREWS|212-708-9156|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|11/01/1940|0|0|0|0|0|0
Northeast Regional Office| 108809|801-56337|EARLY ADOPTER FUND MANAGER INC|EARLY ADOPTER FUND MANAGER INC|1585 BROADWAY|38TH FLOOR, ATTN:  DEBRA ABRAMOVITZ|NEW YORK NY 10036|USA|||  ||AGATHA PAKRUDA|212-762-6190|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/15/1999|0|0|0|0|0|0
Northeast Regional Office| 108823|801-55343|MSREF III, INC.|MSREF III, INC.|1585 BROADWAY|ATTN: REAL ESTATE FUNDS, 37TH FLOOR|NEW YORK NY 10036|USA|||  ||CHRISTOPHER L. O'DELL|212-761-4464|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/23/1998|0|0|1|0|0|0
Northeast 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|||  ||CHRISTOPHER L. O'DELL|212-761-4464|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/21/2000|0|0|1|0|0|0
Northeast Regional Office| 108836|801-56218|COPPER ARCH CAPITAL, LLC|COPPER ARCH CAPITAL, LLC|461 FIFTH AVE|17TH FLOOR|NEW YORK NY 10017|USA|||  ||MICHAEL J. MANLEY|212-856-4722|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/26/1999|0|0|0|0|0|0
Northeast Regional Office| 108857|801-54372|PECONIC PARTNERS LLC|PECONIC PARTNERS LLC|506 MONTAUK HIGHWAY|PO BOX 96|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
Northeast 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|0|0|0|0|0
Northeast 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
Northeast Regional Office| 108875|801-19525|NEW YORK LIFE INSURANCE CO.|NEW YORK LIFE INSURANCE CO.|51 MADISON AVENUE|ROOM 2210|NEW YORK NY 10010|USA|||  ||BARBARA MCINERNEY|212-576-5803|Corporation|Selection of other advisers, Other|APPROVED|08/26/1983|0|51|5|0|0|0
Northeast 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
Northeast 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
Northeast 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 businesses or institutional clients (other than investment companies), Security ratings or pricing services, Other|APPROVED|04/12/1994|0|1|0|0|0|0
Northeast Regional Office| 108905|801-49682|TGM ASSOCIATES L.P.|TGM ASSOCIATES L.P.|650 FIFTH AVENUE, 28TH FLOOR||NEW YORK NY 10019|USA|||  ||MICHAEL FRAZZETTA|212-830-9300|Other (specify)|Pension consulting services|APPROVED|07/17/1995|0|0|0|0|0|0
Northeast Regional Office| 108907|801-55637|STEWART W P & CO., INC.|STEWART W P & CO INC|527 MADISON AVE||NEW YORK NY 10022|USA|||  ||MICHAEL W. STAMM|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
Northeast Regional Office| 108918|801-57069|ZDENEK FINANCIAL PLANNING, LLC|ZDENEK FINANCIAL PLANNING, LLC|12 MINNEAKONING RD||FLEMINGTON NJ 08822|USA|||  ||GARY DAVIS JR.|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
Northeast Regional Office| 108928|801-56972|MERRILL LYNCH INVESTMENT MANAGERS, LLC|MERRILL LYNCH INVESTMENT MANAGERS, LLC|800 SCUDDERS MILL ROAD||PLAINSBORO NJ 08536|USA|GLOBAL REGISTRATION & INSURANCE LICENSING|4804 DEER LAKE DR. E., 4TH FLOOR|JACKSONVILLE FL 32246|USA|GENE E. PORTER JR.|(904) 218-7922|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|11/09/1999|1|0|1|0|0|0
Northeast Regional Office| 108936|801-56602|SPEARS GRISANTI & BROWN LLC|SPEARS GRISANTI & BROWN 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 businesses or institutional clients (other than investment companies)|APPROVED|06/15/1999|0|0|0|0|0|0
Northeast 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 investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/27/1997|0|0|0|0|0|0
Northeast Regional Office| 108951|801-55643|ING GHENT ASSET MANAGEMENT LLC|ING GHENT ASSET MANAGEMENT LLC|230 PARK AVENUE||NEW YORK NY 10169|USA|||  ||CINDY PALMER|212-309-8587|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
Northeast 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
Northeast 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
Northeast Regional Office| 108971|801-57021|PRIVATE WEALTH MANAGEMENT GROUP INC|PRIVATE WEALTH MANAGEMENT GROUP INC|63 MORAN AVENUE, SUITE B||PRINCETON NJ 08542|USA|||  ||ROBERT BRYCE DUNN|(609) 921-7002|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|11/23/1999|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 108982|801-54930|DLIBJ ASSET MANAGEMENT U.S.A.|DLIBJ ASSET MANAGEMENT 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 individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|10/03/1997|0|0|3|0|0|0
Northeast 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
Northeast Regional Office| 109001|801-56844|CAPITAL COUNSEL LLC|CAPITAL COUNSEL LLC|350 PARK AVENUE, 11TH FL.||NEW YORK NY 10022|USA|||  ||MIGUEL HENNESSY|212-350-4534|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
Northeast 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|6TH FLOOR|NEW YORK NY 10022|USA|MARY CADEMARTORI|212-526-1509|Corporation|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|07/23/1992|0|0|0|0|0|0
Northeast 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
Northeast 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
Northeast 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, Publication of periodicals or newsletters|APPROVED|06/08/1998|0|0|0|0|0|0
Northeast Regional Office| 109035|801-50703|SIXTY WALL STREET MANAGEMENT COMPANY, LLC|SIXTY WALL STREET MANAGEMENT COMPANY, LLC|1221 AVENUE OF THE AMERICAS|39TH FLOOR|NEW YORK NY 10020-1080|USA|||  ||JOSEPH VIRGILIO|212-899-3504|Limited Liability Company|Other|APPROVED|11/28/1995|0|0|3|0|0|0
Northeast 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
Northeast 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
Northeast Regional Office| 109063|801-50704|SIXTY WALL STREET SBIC CORP|SIXTY WALL STREET SBIC CORP|1221 AVENUE OF THE AMERICAS|39TH FLOOR|NEW YORK NY 10020-1080|USA|||  ||JOSEPH VIRGILIO|212-899-3504|Corporation|Other|APPROVED|11/28/1995|0|0|3|0|0|0
Northeast Regional Office| 109066|801-56468|CURCIO WEBB, LLC|CURCIO WEBB LLC|108 STAUBE 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
Northeast Regional Office| 109084|801-55422|FITCH, INC.|FITCH INC|ONE STATE STREET PLAZA||NEW YORK NY 10004|USA|||  ||CHARLES D. BROWN|212-908-0626|Corporation|Other|APPROVED|04/02/1998|0|1|2|0|0|0
Northeast Regional Office| 109099|801-56807|BLACKSTONE MEZZANINE ADVISORS LP|BLACKSTONE MEZZANINE ADVISORS 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|08/30/1999|0|0|0|0|0|0
Northeast 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
Northeast 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
Northeast 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
Northeast 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
Northeast Regional Office| 109110|801-55838|BLACKSTONE REAL ESTATE ADVISORS LP|BLACKSTONE REAL ESTATE ADVISORS 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|08/31/1998|0|1|1|0|0|0
Northeast 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
Northeast 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|||  ||LARRY M. ELKIN|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
Northeast 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 businesses or institutional clients (other than investment companies)|APPROVED|05/15/1997|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 109153|801-10220|AEA ADVISERS INC.|AEA ADVISERS INC.|65 EAST 55TH STREET||NEW YORK NY 10022|USA|||  ||CHRISTINE J. SMITH|212-702-0513|Corporation|Other|APPROVED|09/18/1974|0|0|0|0|0|0
Northeast Regional Office| 109159|801-53353|AEA QP ADVISERS INC.|AEA QP ADVISERS INC.|65 EAST 55TH STREET||NEW YORK NY 10022|USA|||  ||CHRISTINE J. SMITH|212-702-0513|Corporation|Other|APPROVED|12/17/1996|0|0|0|0|0|0
Northeast Regional Office| 109164|801-57676|ABERNATHY GROUP, L.L.C.|ABERNATHY GROUP, L.L.C.|WALL STREET TOWER|20 EXCHANGE PL, 38TH FLOOR|NEW YORK NY 10005|USA|||  ||STEVEN ABERNATHY|(212)293-3499|Limited Liability Company|Other|APPROVED|06/23/2000|0|0|0|0|0|0
Northeast 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
Northeast 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
Northeast Regional Office| 109202|801-55466|STANFIELD CAPITAL PARTNERS LLC|STANFIELD CAPITAL PARTNERS LLC|430 PARK AVENUE|11TH FLOOR|NEW YORK NY 10022|USA|||  ||ANDREW SIEGEL|212-891-9645|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
Northeast Regional Office| 109208|801-58095|CREDIT RENAISSANCE PARTNERS, LLC|CREDIT RENAISSANCE PARTNERS, LLC|400 MADISON AVENUE,|SUITE 15D|NEW YORK NY 10017|USA|||  ||JULIAN C. SCHROEDER|(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
Northeast Regional Office| 109213|801-55537|UBS FUND ADVISOR, L.L.C.|UBS FUND ADVISOR, L.L.C.|1285 AVE OF THE AMERICAS, 18TH FL.||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|2|0|0|0|0
Northeast Regional Office| 109225|801-57667|STANDARD ASSET MANAGEMENT|STANDARD AMERICAS INC|320 PARK AVENUE|19 TH FLOOR|NEW YORK NY 10022|USA|||  ||JACQUELINE WALKER|305 349 0540|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/08/2000|0|1|0|0|0|0
Northeast 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
Northeast 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|||  ||PHILIP S. BOUSQUET|(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
Northeast Regional Office| 109252|801-56077|CATALYST INVESTMENT MANAGEMENT CO LLC|CATALYST INVESTMENT MANAGEMENT CO LLC|767 THIRD AVE, 21ST 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
Northeast Regional Office| 109256|801-56618|WESTLB ASSET MANAGEMENT (US) LLC|WESTLB ASSET MANAGEMENT (US) LLC|1185 AVENUE OF THE AMERICAS||NEW YORK NY 10036|USA|||  ||SUSAN LIFSEY PORTES|212-852-6098|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|07/16/1999|0|0|0|0|0|0
Northeast 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
Northeast 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)|APPROVED|08/16/1999|0|0|0|0|0|0
Northeast 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
Northeast 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
Northeast Regional Office| 109302|801-57373|PG INVESTORS III INC.|PG INVESTORS III INC.|C/O MORGAN STANLEY|1585 BROADWAY, 37TH FLOOR|NEW YORK NY 10036-8293|USA|||  ||JAMES WILMOTT|212-761-7860|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/05/2000|0|0|1|0|0|0
Northeast Regional Office| 109304|801-53675|PG INVESTORS II INC.|PG INVESTORS II INC.|C/O MORGAN STANLEY|1585 BROADWAY, 37TH FLOOR|NEW YORK NY 10036-8293|USA|||  ||JAMES M. WILMOTT|212-761-7860|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/22/1997|0|0|1|0|0|0
Northeast 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
Northeast Regional Office| 109333|801-56852|UBS EUCALYPTUS MANAGEMENT, L.L.C.|UBS EUCALYPTUS MANAGEMENT, L.L.C.|C/O UBS FINANCIAL SERVICES INC.|1285 AVENUE OF THE AMERICAS, 18TH FL|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|09/30/1999|0|2|0|0|0|0
Northeast Regional Office| 109338|801-56853|UBS ASPEN MANAGEMENT, L.L.C.|UBS ASPEN MANAGEMENT, L.L.C.|C/O UBS FINANCIAL SERVICES INC|1285 AVENUE OF THE AMERICAS, 18TH FL.|NEW YORK NY 10019|USA|||  ||MARA P. GALEANO|201-352-0447|Limited Liability Company|Portfolio management for investment companies|APPROVED|09/30/1999|0|2|0|0|0|0
Northeast Regional Office| 109342|801-57892|UBS REDWOOD/SEQUOIA MANAGEMENT, L.L.C.|UBS SEQUOIA MANAGEMENT, LLC|C/O UBS FINANCIAL SERVICES INC.|1285 AVENUE OF THE AMERICAS, 18TH FL.|NEW YORK NY 10019|USA|||  ||MARA GALEANO|201-352-0447|Limited Liability Company|Portfolio management for investment companies|APPROVED|09/06/2000|0|3|0|0|0|0
Northeast Regional Office| 109347|801-57401|UBS WILLOW MANAGEMENT, L.L.C.|UBS WILLOW MANAGEMENT, L.L.C.|C/O UBS FINANCIAL SERVICES INC.|1285 AVENUE OF THE AMERICAS, 18TH FL|NEW YORK NY 10019|USA|||  ||MARA P. GALEANO|201-352-0447|Limited Liability Company|Portfolio management for investment companies|APPROVED|03/27/2000|0|2|0|0|0|0
Northeast 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
Northeast 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|||  ||STEVEN JAY SEIDEMANN|212-478-0000|Limited Liability Company|Other|APPROVED|11/17/2000|0|0|0|0|0|0
Northeast Regional Office| 109370|801-58033|UBS JUNIPER MANAGEMENT, L.L.C.|UBS JUNIPER MANAGEMENT, L.L.C.|C/O UBS FINANCIAL SERVICES INC.|1285 AVENUE OF THE AMERICAS, 18TH FL|NEW YORK NY 10019|USA|||  ||MARA GALEANO|201-352-0447|Limited Liability Company|Portfolio management for investment companies|APPROVED|10/31/2000|0|2|0|0|0|0
Northeast 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 investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/07/2000|0|1|0|0|0|0
Northeast Regional Office| 109455|801-55631|MARK OFFSHORE MANAGEMENT LLC|MARK OFFSHORE MANAGEMENT LLC|667 MADISON AVENUE, 9TH FLOOR||NEW YORK NY 10021|USA|||  ||JOHN WILKENS|212-372-2517|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/12/1998|0|0|0|0|0|0
Northeast Regional Office| 109456|801-55887|MARK ADVISORS LLC|MARK ADVISORS LLC|667 MADISON AVENUE 9TH FLOOR||NEW YORK NY 10021|USA|||  ||JOHN WILKENS|212-372-2517|Limited Liability Company|Portfolio management for investment companies|APPROVED|10/06/1998|0|0|0|0|0|0
Northeast Regional Office| 109457|801-54217|BLACKROCK REALTY ADVISORS INC|BLACKROCK REALTY ADVISORS INC|300 CAMPUS DRIVE|3RD FLOOR|FLORHAM PARK NJ 07932-2346|USA|300 CAMPUS DRIVE|3RD FLOOR|FLORHAM PARK NJ 07932-2346|USA|HERMAN H. HOWERTON|415-678-2135|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|04/10/1997|0|5|1|0|0|0
Northeast 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, Pension consulting services, Selection of other advisers|APPROVED|05/25/2000|0|0|0|0|0|0
Northeast Regional Office| 109463|801-55708|CAMBRIDGE CAPITAL MANAGEMENT LLC|CAMBRIDGE CAPITAL MANAGEMENT LLC|477 MADISON AVENUE|SUITE 1600|NEW YORK NY 10022|USA|||  ||RICHARD BARRY NYE|(212)-826-3030|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|07/31/1998|0|0|0|0|0|0
Northeast Regional Office| 109472|801-57919|TBP ADVISORS LTD|TBP ADVISORS LTD|287 BOWMAN AVENUE  SUITE 203||PURCHASE NY 10577|USA|||  ||JOHN H. PLUNKETT|914-251-2950|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
Northeast 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
Northeast Regional Office| 109482|801-57102|ALEXANDER CAPITAL MANAGEMENT, INC.|ALEXANDER CAPITAL MANAGEMENT, INC.|19 WEST 34TH STREET, SUITE 816A||NEW YORK NY 10001|USA|||  ||FRANCIS ALEXANDER|212-564-2754|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
Northeast 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
Northeast 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
Northeast Regional Office| 109505|801-54701|DOMINI SOCIAL INVESTMENTS LLC|DOMINI SOCIAL INVESTMENTS LLC|536 BROADWAY 7TH FLR||NEW YORK NY 10012-3915|USA|||  ||MEGAN L. 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
Northeast 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|Other|APPROVED|06/18/1998|0|1|1|0|0|0
Northeast 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
Northeast Regional Office| 109535|801-56156|BURNS JJ & CO|BURNS JAMES JOSEPH|1895 WALT WHITMAN RD||MELVILLE NY 11747|USA|||  ||JAMES J. BURNS|631-420-4242|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/15/1999|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 109548|801-3891|STANDARD & POORS DIVISION OF THE MCGRAW HILL COS. INC.|STANDARD & POORS DIVISION OF THE MCGRAW HILL COS. INC.|55 WATER ST||NEW YORK NY 10041|USA|||  ||ROBERT HARRIS|212-438-6644|Corporation|Other|APPROVED|12/22/1965|0|8|0|0|0|0
Northeast 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
Northeast Regional Office| 109568|801-58045|STRATEGIC PARTNERS INVESTMENT ADVISORS, INC.|STRATEGIC PARTNERS INVESTMENT ADVISORS, INC.|303 SOUTH BROADWAY|SUITE 309|TARRYTOWN NY 10591|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
Northeast 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|38|4|0|0|0
Northeast 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
Northeast Regional Office| 109621|801-57975|VISION INVESTMENT ADVISORS, LLC|VISION INVESTMENT ADVISORS, LLC|1 WHITEHALL STREET|SUITE 1500|NEW YORK NY 10004|USA|||  ||HOWARD M. ROTHMAN|212-859-0300|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), Other|APPROVED|09/22/2000|0|0|0|0|0|0
Northeast Regional Office| 109633|801-56628|LIGHTHOUSE CAPITAL INC|LIGHTHOUSE CAPITAL INC|56 MAIN STREET|SUITE 3C|FLEMINGTON NJ 08822|USA|||  ||CHESTER A. SIUDA|908-806-3200|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|07/12/1999|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 109671|801-26388|MILLER, GESKO & COMPANY INC.|MILLER GESKO & CO INC.|237 MAIN STREET|STE 600|BUFFALO NY 14203|USA|||  ||LISA A. MASSARA|(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
Northeast Regional Office| 109677|801-33774|STRATEGIC INVESTMENT ADVISORS, INC.|STRATEGIC INVESTMENT ADVISORS INC|2631 GENESEE ST||UTICA NY 13501|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
Northeast 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|Selection of other advisers, Other|APPROVED|03/05/1996|0|0|0|0|0|0
Northeast 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, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|10/12/1999|0|0|0|0|0|0
Northeast 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|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/08/2000|0|0|0|0|0|0
Northeast Regional Office| 109691|801-15948|DAIWA SB INVESTMENTS USA LTD|DAIWA SB INVESTMENTS USA LTD|32 OLD SLIP, 11TH FLOOR||NEW YORK NY 10005|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
Northeast 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|||  ||JOHN A. SKVARLA|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|03/09/1989|0|0|0|0|0|0
Northeast Regional Office| 109787|801-17277|KECALP INC.|KECALP INC.|4 WORLD FINANCIAL CENTER|23RD FLOOR|NEW YORK NY 10080|USA|GLOBAL REGISTRATION & INSURANCE LICENSING|4804 DEER LAKE DR. E., 4TH FLOOR|JACKSONVILLE FL 32246|USA|GENE E. PORTER, JR.|(904) 218-7922|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
Northeast Regional Office| 109798|801-12485|FUND ASSET MANAGEMENT LP|FUND ASSET MANAGEMENT LP|800 SCUDDERS MILL RD.||PLAINSBORO NJ 08536|USA|GLOBAL REGISTRATION & INSURANCE LICENSING|4804 DEER LAKE DR. E., 4TH FLOOR|JACKSONVILLE FL 32246|USA|GENE E. PORTER, JR.|(904) 218-7922|Partnership|Portfolio management for investment companies|APPROVED|12/29/1976|1|6|2|0|0|0
Northeast Regional Office| 109799|801-57028|HALSEY ADVISORY AND MANAGEMENT,   LLC|HALSEY ADVISORY AND MANAGEMENT,  LLC|45 ROCKEFELLER PLAZA|SUITE 2570|NEW YORK NY 10111|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
Northeast 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
Northeast Regional Office| 109826|801-48380|BRIDGEWATER ADVISORS INC.|BRIDGEWATER ADVISORS INC.|452 FIFTH AVENUE, 13TH FLOOR||NEW YORK NY 10018|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
Northeast Regional Office| 109835|801-43989|JOEL ISAACSON & CO., INC.|JOEL ISAACSON & CO., INC.|516 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|APPROVED|05/20/1993|0|0|0|0|0|0
Northeast Regional Office| 109836|801-7465|AMIVEST CAPITAL MANAGEMENT|AMIVEST CORP|C/O NORTH FORK BANK|265 BROAD HOLLOW ROAD|MELVILLE NY 11747|USA|||  ||MICHAEL J. KELLY|631 577-3290|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/28/1971|0|1|0|0|0|0
Northeast 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|||  ||MIKE STARING|00 31 20 5215 477|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/06/1987|0|0|0|0|0|0
Northeast 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
Northeast 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|0|0|0|0
Northeast Regional Office| 109877|801-60038|GSCP (NJ), L.P|GSCP (NJ), L.P.|500 CAMPUS DRIVE|SUITE 220|FLORHAM PARK NJ 07932|USA|||  ||DAVID L. GORET|973-593-5420|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/01/2001|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 109888|801-28990|TANAKA CAPITAL MANAGEMENT INC|TANAKA CAPITAL MANAGEMENT INC|230 PARK AVENUE|SUITE 960|NEW YORK NY 10169|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
Northeast Regional Office| 109908|801-7457|COURIER CAPITAL CORPORATION|COURIER CAPITAL CORP|976 DELAWARE AVENUE||BUFFALO NY 14209|USA|||  ||JERY K. CHAMBERS|(716)883-9595|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|05/27/1971|0|1|0|0|0|0
Northeast Regional Office| 109911|801-51865|M&K INVESTMENT ADVISERS LLC|M&K INVESTMENT ADVISERS LLC|10 MELVILLE PARK ROAD||MELVILLE NY 11747|USA|||  ||HOITSZ MICHEL|212-981-3141|Limited Liability Company|Financial planning services, 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
Northeast Regional Office| 109938|801-55711|CREDIT SUISSE FIRST BOSTON ADVISORY PARTNERS, LLC|CREDIT SUISSE FIRST BOSTON ADVISORY PARTNERS, LLC|ELEVEN MADISON AVENUE||NEW YORK NY 10010|USA|||  ||ANDREA JOHNSTON|212-325-4507|Limited Liability Company|Other|APPROVED|08/06/1998|0|1|0|0|0|0
Northeast Regional Office| 109939|801-60049|STRATEGY ASSET MANAGERS L.L.C.|STRATEGY ASSET MANAGERS L.L.C.|535 MADISON AVENUE|35TH FLOOR|NEW YORK NY 10022|USA|||  ||ROBERT M. DEMICHELE|212-396-8670|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
Northeast 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|APPROVED|07/07/1999|0|0|0|0|0|0
Northeast Regional Office| 109941|801-55817|FORTE CAPITAL LLC|FORTE CAPITAL LLC|95 ALLENS CREEK ROAD|BUILDING 1|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
Northeast Regional Office| 109942|801-60063|ARIES ADVISORS LLC|ARIES ADVISORS LLC|C/O CREDIT SUISSE FIRST BOSTON|ONE MADISON AVENUE, MEZZANINE LEVEL|NEW YORK NY 10010|USA|||  ||HARTLEY ROGERS|212-325-4618|Limited Liability Company|Other|APPROVED|02/28/2001|0|0|0|0|0|0
Northeast Regional Office| 109946|801-60220|MSDW OIP INVESTORS, INC.|MSDW OIP INVESTORS, INC.|C/O MORGAN STANLEY|1585 BROADWAY, 37TH FLOOR|NEW YORK NY 10036|USA|||  ||JAMES WILMOTT|212-761-7860|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/11/2001|0|0|1|0|0|0
Northeast 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
Northeast 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|973-783-8032|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/02/2001|0|0|0|0|0|0
Northeast Regional Office| 109967|801-58182|BRENCOURT ADVISORS, LLC|BRENCOURT ADVISORS, LLC|600 LEXINGTON AVENUE|8TH FLOOR|NEW YORK NY 10022|USA|||  ||MICHAEL PALMER|(212)313-9724|Limited Liability Company|Other|APPROVED|12/01/2000|0|0|0|0|0|0
Northeast Regional Office| 109992|801-57330|J.P. MORGAN LATIN AMERICA MANAGEMENT COMPANY, LLC.|J.P. MORGAN LATIN AMERICA MANAGEMENT COMPANY, LLC.|1221 AVENUE OF AMERICAS|39TH FLOOR|NEW YORK NY 10020|USA|||  ||JOSEPH VIRGILIO|212-899-3504|Limited Liability Company|Other|APPROVED|03/07/2000|0|0|3|0|0|0
Northeast Regional Office| 110001|801-65328|TRADEWORX INC|TRADEWORX INC|90 BROAD STREET|17TH FLOOR|NEW YORK NY 10004|USA|||  ||MICHAEL MAGUIRE|212-509-3556|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
Northeast 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|||  ||DANIEL CHAFETZ|516-390-5575|Corporation|Portfolio management for investment companies|APPROVED|08/06/1997|0|4|0|0|0|0
Northeast Regional Office| 110044|801-31482|SECURITIES ASSOCIATES, INC.|SECURITIES ASSOCIATES, INC.|80 BUSINESS PARK DRIVE||ARMONK NY 10504|USA|||  ||GALLAGHER, JOANNE T|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
Northeast Regional Office| 110076|801-55699|SANDS BROTHERS ASSET MANAGEMENT LLC|SANDS BROTHERS ASSET MANAGEMENT LLC|90 PARK AVENUE|39TH FLOOR|NEW YORK NY 10016|USA|||  ||MOSHE SILVER|212-697-5200|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|07/13/1998|0|2|0|0|0|0
Northeast Regional Office| 110111|801-40575|BEECHER INVESTORS INC|BEECHER INVESTORS INC|444 PARK AVENUE SOUTH, 2ND FLOOR||NEW YORK NY 10016|USA|||  ||DAVID B. PEAR|(212) 779-2200|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/16/1992|0|0|0|0|0|0
Northeast 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|APPROVED|02/25/1983|0|1|0|0|0|0
Northeast 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, Portfolio management for investment companies, 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
Northeast 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
Northeast 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
Northeast Regional Office| 110150|801-16774|PHILIPPE INVESTMENT MANAGEMENT, INC|PHILIPPE INVESTMENT MANAGEMENT, INC|405 LEXINGTON AVENUE, 35TH FLOOR||NEW YORK NY 10174|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
Northeast Regional Office| 110178|801-64232|BRIGHTON FINANCIAL PLANNING INC|BRIGHTON FINANCIAL PLANNING INC|1728 ROUTE 31||CLINTON NJ 08809|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
Northeast 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|||  ||SCOTT KLOIN|212-464-1671|Corporation|Selection of other advisers, Other|APPROVED|05/15/1992|0|4|2|0|0|0
Northeast 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
Northeast Regional Office| 110210|801-57875|DMAC FINANCIAL SERVICES|DIANE MACPHEE,CFP|201 ROCK ROAD, SUITE 217||GLEN ROCK NJ 07452|USA|||  ||MARGARET BRAUN|201 689 9999|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|08/22/2000|0|0|0|0|0|0
Northeast Regional Office| 110233|801-6756|LOEWENBERG R E CAPITAL MANAGEMENT CORP|LOEWENBERG R E CAPITAL MANAGEMENT CORP|430 PARK AVENUE||NEW YORK NY 10022|USA|||  ||RALPH E. LOEWENBERG|212-753-4100|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/21/1970|0|0|0|0|0|0
Northeast Regional Office| 110238|801-49164|MURRAY CAPITAL MANAGEMENT, INC.|MURRAY CAPITAL MANAGEMENT, INC.|680 FIFTH AVE SUITE 2602||NEW YORK NY 10019|USA|||  ||SCOTT V. BEECHERT|212.582-5505|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/15/1995|0|0|0|0|0|0
Northeast 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|||  ||MATTHEW JENAL|212-650-4646|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
Northeast Regional Office| 110262|801-53254|HAVELL CAPITAL MANAGEMENT LLC|HAVELL CAPITAL MANAGEMENT LLC|ONE ROCKEFELLER PLAZA|SUITE 1010|NEW YORK NY 10020|USA|||  ||HEMANT BAIJAL|212-218-4222|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
Northeast Regional Office| 110273|801-16878|CEDARPOINT CAPITAL MANAGEMENT, INC.|CEDARPOINT CAPITAL MANAGEMENT INC|950 THIRD AVENUE|SUITE 501|NEW YORK NY 10022|USA|||  ||GAIL MARSHAK|212-935-3488|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
Northeast 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
Northeast Regional Office| 110278|801-54947|EURO BROKERS SECURITIES LENDING DIVISION|MAXCOR FINANCIAL ASSET MANAGEMENT INC.|ONE SEAPORT PLAZA, 19TH FLOOR||NEW YORK NY 10038|USA|||  ||JON A. BLIZZARD|646-346-7269|Corporation|Other|APPROVED|09/05/1997|0|1|0|0|0|0
Northeast Regional Office| 110280|801-8123|DAVIS DINSMORE MANAGEMENT CO|DAVIS DINSMORE 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
Northeast Regional Office| 110282|801-16367|NIKKO AM INTERNATIONAL, INC.|NIKKO AM INTERNATIONAL, INC.|630 THIRD AVENUE, 6TH FL.||NEW YORK NY 10017|USA|||  ||JOSEPH MENDOLA|212-610-6111|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|09/16/1981|0|27|7|0|0|0
Northeast Regional Office| 110300|801-13654|EHRLICH MEYER ASSOCIATES, INC.|EHRLICH MEYER ASSOCIATES, INC.|317 MADISON AVENUE|SUITE 1004|NEW YORK NY 10017-5241|USA|||  ||ROBERT L. MEYER|646-452-6720|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/10/1978|0|0|0|0|0|0
Northeast 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|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/02/1982|0|0|0|0|0|0
Northeast Regional Office| 110308|801-55394|CORSAIR II, L.L.C.|CORSAIR II, L.L.C.|277 PARK AVENUE, 23RD FLOOR||NEW YORK NY 10172|USA|||  ||AMY SOEDA|212-622-6075|Limited Liability Company|Other|APPROVED|05/28/1998|0|0|0|0|0|0
Northeast 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
Northeast 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, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/06/1986|0|1|0|0|0|0
Northeast 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
Northeast Regional Office| 110333|801-20396|CENTURA PERSONAL FINANCIAL SERVICES, INC.|CENTURA PERSONAL FINANCIAL SERVICES, INC.|1430 BROADWAY||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
Northeast Regional Office| 110346|801-40415|AWM INVESTMENT COMPANY INC|AWM INVESTMENT COMPANY INC|C/O SPECIAL SITUATIONS FUND|153 E 53RD ST 55TH FLR|NEW YORK NY 10022|USA|||  ||ROSE CARLING|212-207-6503|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/17/1991|0|0|0|0|0|0
Northeast 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
Northeast 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|1|0|0|0|0
Northeast Regional Office| 110353|801-15757|MORGAN STANLEY INVESTMENT MANAGEMENT INC.|MORGAN STANLEY INVESTMENT MANAGEMENT INC.|1221 AVENUE OF THE AMERICAS||NEW YORK NY 10020|USA|||  ||BARKHORN, MADELINE|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|01/28/1981|0|2|17|0|0|0
Northeast 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 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)|APPROVED|02/16/2001|0|21|1|0|0|0
Northeast Regional Office| 110371|801-57412|VILLAFRANCO WEALTH MANAGEMENT|SOUTHWIND ASSOCIATES OF NJ INC.|577 CHESTNUT RIDGE ROAD||WOODCLIFF LAKE NJ 07677|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
Northeast Regional Office| 110373|801-58234|JPMORGAN PARTNERS|J.P. MORGAN PARTNERS, LLC|1221 AVENUE OF THE AMERICAS|39TH FLOOR|NEW YORK NY 10020-1080|USA|||  ||JOHN L. OLIVA|212-899-3220|Limited Liability Company|Other|APPROVED|12/29/2000|0|0|3|0|0|0
Northeast 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
Northeast 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|201-395-2269|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
Northeast 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
Northeast 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|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/06/1992|0|0|0|0|0|0
Northeast 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|||  ||PAUL ANDREW DUTTON|212-667-9015|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
Northeast Regional Office| 110434|801-43057|EXCOMP ASSET MANAGEMENT LTD|EXCOMP ASSET MANAGEMENT LTD|1010 FRANKLIN AVENUE- SUITE 410||GARDEN CITY NY 11530|USA|||  ||GERARD T. BREITNER|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
Northeast 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
Northeast 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|Portfolio management for investment companies|APPROVED|07/19/1990|0|3|0|0|0|0
Northeast Regional Office| 110457|801-31503|CANTOR, WEISS & WURM ASSET MANAGEMENT CO., INC.|CANTOR, WEISS & WURM ASSET MANAGEMENT CO., 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
Northeast Regional Office| 110458|801-35671|GAM USA INC.|GAM USA INC.|135 EAST 57TH STREET||NEW YORK NY 10022|USA|||  ||KENNETH A. DURSHT|212-407-4766|Corporation|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|12/11/1989|0|2|0|0|0|0
Northeast 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
Northeast 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
Northeast Regional Office| 110487|801-39572|LOEB ARBITRAGE MANAGEMENT INC|LOEB ARBITRAGE MANAGEMENT INC|61 BROADWAY||NEW YORK NY 10006|USA|||  ||GIDEON J. KING|212-483-7000|Corporation|Other|APPROVED|07/29/1991|0|2|0|0|0|0
Northeast 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
Northeast Regional Office| 110497|801-34605|HYPERION CAPITAL MANAGEMENT, INC.|HYPERION CAPITAL MANAGEMENT INC|ONE LIBERTY PLAZA, 36TH FLOOR|165 BROADWAY, 36TH FLOOR|NEW YORK NY 10006-1404|USA|||  ||DANIEL SURO KIM|212-549-8465|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/30/1989|0|0|1|0|0|0
Northeast Regional Office| 110513|801-17944|FORSTMANN LEFF ASSOCIATES LLC|FORSTMANN-LEFF ASSOCIATES, LLC|590 MADISON AVENUE|39TH FLOOR|NEW YORK NY 10022|USA|||  ||MARIANI, KRISTIN|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), Selection of other advisers, Other|APPROVED|11/24/1982|1|0|0|0|0|0
Northeast 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
Northeast Regional Office| 110563|801-52312|ORBITEX MANAGEMENT INC|ORBITEX MANAGEMENT INC|410 PARK AVE 18TH FLOOR||NEW YORK NY 10022|USA|||  ||M. FYZUL KHAN|(212)891-7914|Corporation|Portfolio management for investment companies|APPROVED|07/17/1996|0|2|1|0|0|0
Northeast Regional Office| 110574|801-61923|MEMBERTRADE ADVISORY SERVICES, LLC|MEMBERTRADE ADVISORY SERVICES LLC|1021 WATERVLIET-SHAKER ROAD||ALBANY NY 12205|USA|P.O. BOX 13150||ALBANY NY 12212||BART SALAZAR|(518) 292-3840|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Other|APPROVED|08/27/2002|0|0|0|0|0|0
Northeast 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|APPROVED|05/15/1989|0|0|0|0|0|0
Northeast 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
Northeast 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
Northeast Regional Office| 110618|801-57503|WESTLB ASSET MANAGEMENT (USA) LLC|WESTLB ASSET MANAGEMENT (USA) LLC|1185 AVENUE OF THE AMERICAS||NEW YORK NY 10036|USA|||  ||SUSAN LIFSEY PORTES|212-852-6098|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/17/2000|0|0|0|0|0|0
Northeast Regional Office| 110622|801-45149|CWH ASSOCIATES, INC|CWH ASSOCIATES, INC|2 SACKETT LANDING||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
Northeast 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
Northeast Regional Office| 110631|801-20841|PINNACLE ASSOCIATES, LTD.|PINNACLE ASSOCIATES, LTD.|335 MADISON AVENUE, 11TH FLOOR||NEW YORK NY 10017|USA|||  ||GAIL MANNIX|212-652-3200|Corporation|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|03/16/1984|0|0|0|0|0|0
Northeast Regional Office| 110641|801-15900|SCHROEDER, BRAXTON & VOGT INC.|SCHROEDER, BRAXTON & VOGT INC.|1400 SWEET HOME ROAD 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
Northeast Regional Office| 110649|801-55776|AWAD ASSET MANAGEMENT, INC.|AWAD ASSET MANAGEMENT, INC.|250 PARK AVENUE 2ND FLOOR||NEW YORK NY 10177|USA|880 CARILLON PARKWAY||ST. PETERSBURG FL 33716|USA|DAMIAN D. SOUSA|727-573-3800|Corporation|Portfolio 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
Northeast 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
Northeast 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
Northeast 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|3|0|0|0|0
Northeast Regional Office| 110711|801-625|VALUE LINE INC|VALUE LINE INC|220 E. 42ND STREET||NEW YORK NY 10017-5891|USA|||  ||DAVID T. HENIGSON|212-907-1610|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/25/1946|0|0|0|0|0|0
Northeast Regional Office| 110755|801-37043|LYNMAR CAPITAL GROUP,INC|LYNMAR CAPITAL GROUP,INC|2 EVES DRIVE|SUITE 204, EXECUTIVE COURT|MARLTON NJ 08053-3193|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
Northeast 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
Northeast Regional Office| 110763|801-27418|JAMISON PRINCE ASSET MANAGEMENT, INCORPORATED|JAMISON PRINCE ASSET MANAGEMENT, INCORPORATED|777 THIRD AVENUE|18TH FLOOR|NEW YORK NY 10017-1401|USA|||  ||MICHAEL D. JAMISON|(212) 838-7979|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
Northeast 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
Northeast Regional Office| 110771|801-13742|FLA ASSET MANAGEMENT LLC|FLA ASSET MANAGEMENT, LLC|590 MADISON AVENUE|39TH FLOOR|NEW YORK NY 10022|USA|||  ||KRISTIN MARIANI|212-407-9448|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|04/07/1978|1|0|0|0|0|0
Northeast Regional Office| 110784|801-13595|GARY GOLDBERG PLANNING SERVICES INC|GARY GOLDBERG PLANNING SERVICES INC|75 MONTEBELLO RD||SUFFERN NY 10901|USA|||  ||PETER DEDEL|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
Northeast 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|APPROVED|03/06/1987|0|4|0|0|0|0
Northeast 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)|APPROVED|04/15/1983|0|4|0|0|0|0
Northeast Regional Office| 110793|801-56281|NEXT CAPITAL MANAGEMENT LLC|NEXT CAPITAL MANAGEMENT LLC|383 MADISON AVENUE|ATTN: ANDREW HART|NEW YORK NY 10179|USA|115 SOUTH JEFFERSON ROAD|ATTN: DOROTHY STANIEC|WHIPPANY NJ 07981|U.S.A.|DOROTHY STANIEC|973-793-2255|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
Northeast Regional Office| 110806|801-54785|RAMIUS ADVISORS, LLC|RAMIUS ADVISORS, LLC|666 THIRD AVENUE|26TH FLOOR|NEW YORK NY 10017|USA|||  ||MARRAN H. OGILVIE|212 845-7909|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
Northeast Regional Office| 110818|801-18150|CIRCLE ADVISERS INC|CIRCLE ADVISERS INC|260 MADISON AVENUE|17TH FLOOR|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
Northeast Regional Office| 110826|801-32987|EAGLE STRATEGIES CORP|EAGLE STRATEGIES CORP|335 MADISON AVENUE|SUITE 200|NEW YORK NY 10017|USA|||  ||JUSTIN SACCA|212-351-6052|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|10/14/1988|0|55|5|0|0|0
Northeast Regional Office| 110827|801-14956|GEOCAPITAL LLC|GEOCAPITAL LLC|825 THIRD AVENUE|32ND FLOOR|NEW YORK NY 10022-7519|USA|||  ||JEANNE E FLAHERTY|212-486-4455|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
Northeast 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
Northeast Regional Office| 110842|801-58203|HADDON FINANCIAL GROUP, INC.|HADDON FINANCIAL GROUP, INC.|502 PLEASANT VALLEY AVENUE||MOORESTOWN NJ 08057|USA|||  ||MATTHEW 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
Northeast Regional Office| 110847|801-56924|GILMAN + CIOCIA, INC.|GILMAN + CIOCIA, INC.|11 RAYMOND AVENUE||POUGHKEEPSIE NY 12603|USA|||  ||ROSE RUDDEN|845-485-3300|Corporation|Financial planning services, Other|APPROVED|12/01/1999|0|3|0|0|0|0
Northeast 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
Northeast 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
Northeast Regional Office| 110879|801-60159|RAMIUS HVB PARTNERS, LLC|RAMIUS HVB PARTNERS, LLC|666 THIRD AVENUE|15TH FL.|NEW YORK NY 10017|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
Northeast 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
Northeast Regional Office| 110921|801-48596|ERNST & YOUNG INVESTMENT ADVISERS LLP|ERNST & YOUNG INVESTMENT ADVISERS LLP|1280 WALL STREET WEST||LYNDHURST NJ 07071|USA|||  ||DONALD ARTHUR CULP|201-872-6547|Limited Liability Partnership|Financial planning services|APPROVED|04/07/1995|0|1|4|0|0|0
Northeast 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
Northeast 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|0|0|0|0|0
Northeast 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|518-234-4393|Corporation|Portfolio 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
Northeast 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
Northeast Regional Office| 110966|801-30304|HAYES FISCHER CAPITAL MANAGEMENT, INC.|HAYES FISCHER CAPITAL MANAGEMENT, INC.|400 ANDREWS STREET|SUITE 600|ROCHESTER NY 14604|USA|||  ||ROBERT J. FISCHER|585 325 0900|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|08/07/1987|0|0|1|0|0|0
Northeast Regional Office| 110971|801-60064|GRANDFIELD & DODD, LLC|GRANDFIELD & DODD, LLC|17 BATTERY PLACE|SUITE 1326|NEW YORK NY 10004|USA|||  ||TAEGENE 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
Northeast 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
Northeast Regional Office| 111003|801-58139|MSREF IV, LLC|MSREF IV, LLC|1585 BROADWAY|REAL ESTATE FUNDS, 37TH FLOOR|NEW YORK NY 10036|USA|||  ||CHRISTOPHER L. O'DELL|212-761-4464|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/17/2000|0|0|1|0|0|0
Northeast 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 PAKRUDA|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|0|0|0|0
Northeast 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 PAKRUDA|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|0|0|0|0
Northeast Regional Office| 111015|801-47598|MSREF II, INC.|MSREF II, INC.|1585 BROADWAY|REAL ESTATE FUNDS, 37TH FLOOR|NEW YORK NY 10036|USA|||  ||CHRISTOPHER L. O'DELL|212-761-4464|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/08/1994|0|0|1|0|0|0
Northeast Regional Office| 111019|801-37025|MORGAN STANLEY REAL ESTATE FUND, INC.|MORGAN STANLEY REAL ESTATE FUND, INC.|1585 BROADWAY|ATTN: REAL ESTATE FUNDS, 37TH FLOOR|NEW YORK NY 10036|USA|||  ||CHRISTOPHER L. O'DELL|212-761-4464|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/23/1990|0|0|1|0|0|0
Northeast 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|||  ||CHRISTOPHER L. O'DELL|212-761-4464|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/13/1995|0|0|1|0|0|0
Northeast Regional Office| 111034|801-38692|MORGAN STANLEY REAL ESTATE INVESTMENT MANAGEMENT INC.|MORGAN STANLEY REAL ESTATE INVESTMENT MANAGEMENT INC.|1585 BROADWAY|REAL ESTATE FUNDS, 37TH FLOOR|NEW YORK NY 10036|USA|||  ||CHRISTOPHER L. O'DELL|212-761-4644|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/26/1991|0|0|1|0|0|0
Northeast 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
Northeast 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
Northeast 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
Northeast 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
Northeast Regional Office| 111089|801-27960|SENTINEL INVESTMENT MANAGEMENT CORP|SENTINEL INVESTMENT MANAGEMENT CORP|10 MITCHELL PL|STE 201|WHITE PLAINS NY 10601|USA|||  ||WILLIAM LANDBERG|914 683 3970|Corporation|Financial planning 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|09/19/1986|0|0|0|0|0|0
Northeast Regional Office| 111114|801-57773|BOURNE STENSTROM CAPITAL MANAGEMENT INC|BOURNE STENSTROM CAPITAL MANAGEMENT INC|42 MAIN STREET||BEDFORD HILLS NY 10507|USA|||  ||DONALD BOURNE|914-666-2020|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
Northeast Regional Office| 111146|801-2887|MOODY'S INVESTORS SERVICE|MOODYS INVESTORS SERVICE INC|99 CHURCH ST.||NEW YORK NY 10007|USA|||  ||JOHN J. GOGGINS|212-553-1912|Corporation|Other|APPROVED|05/02/1962|1|0|0|0|0|0
Northeast Regional Office| 111173|801-57092|TORREY ASSOCIATES LLC|TORREY ASSOCIATES LLC|505 PARK AVENUE|5TH FLOOR|NEW YORK NY 10022|USA|||  ||EILEEN B. SPENCER|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
Northeast Regional Office| 111184|801-33583|KBW ASSET MANAGEMENT, INC.|KBW ASSET MANAGEMENT INC|787 SEVENTH AVENUE|SIXTH FLOOR|NEW YORK NY 10019|USA|||  ||MICHAEL T. O'BRIEN|212-887-2001|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
Northeast Regional Office| 111188|801-60078|BELLWETHER CONSULTING LLC|BELLWETHER CONSULTING LLC|5 SOUTH WILLOW STREET|P.O. BOX 140|MONTCLAIR NJ 07042|USA|||  ||SCOTT COHEN|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
Northeast 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|212-750-9727|Limited Liability Company|Publication of periodicals or newsletters, Other|APPROVED|04/15/1997|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 111229|801-60239|ABA ADVISORY SERVICES, LLC|PLATINUM ADVISORY SERVICES 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
Northeast Regional Office| 111231|801-60256|BROWN BROTHERS HARRIMAN & CO.|BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT|140 BROADWAY||NEW YORK NY 10005-1101|USA|||  ||JEFFREY A. SCHOENFELD|(212)-493-8999|Other (specify)|Portfolio management for investment companies|APPROVED|05/30/2001|0|0|2|0|0|0
Northeast 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
Northeast 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
Northeast Regional Office| 111288|801-60105|REACHCAPITAL MANAGEMENT, LLC|REACHCAPITAL MANAGEMENT, LLC|500 MAMARONECK AVENUE|SUITE 102|HARRISON NY 10528|USA|||  ||LANA OSTROVSKY|914-899-3665|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/26/2001|0|0|0|0|0|0
Northeast Regional Office| 111289|801-55296|ING CLARION CAPITAL LLC|ING CLARIOIN 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
Northeast 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|||  ||PAUL J. JACOBELLO|(212) 801-2303|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/11/2000|0|0|0|0|0|0
Northeast Regional Office| 111303|801-60504|ALPINE CAPITAL STRATEGIES LLC|ALPINE CAPITAL STRATEGIES LLC|120 BUCKINGHAM ROAD||TENAFLY NJ 07670|USA|||  ||DAVID M. ABOODI|2018168678|Limited Liability Company|Financial planning services, 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
Northeast Regional Office| 111304|801-60139|ROUND TABLE SERVICES, LLC|ROUND TABLE SERVICES, LLC|302 EAST BROAD STREET|2ND FLOOR|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
Northeast Regional Office| 111315|801-47832|INTERNATIONAL INVESTMENT ADVISORS, L.L.C.|INTERNATIONAL INVESTMENT ADVISORS, L.L.C.|60 MADISON AVENUE|SUITE 1111|NEW YORK NY 10010|USA|4750 MAIN STREET||BRIDGEPORT CT 06606||HENRY SEGGERMAN|212 977 9222|Limited Liability Company|Other|APPROVED|12/09/1994|0|0|0|0|0|0
Northeast Regional Office| 111333|801-60259|HAVENS ADVISORS|HAVENS ADVISORS LLC|600 LEXINGTON AVENUE|29TH FLOOR|NEW YORK NY 10022|USA|||  ||CALLEEN KING LETACONNOUX|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
Northeast Regional Office| 111361|801-51967|FRANKLIN ADVISORY SERVICES, LLC|FRANKLIN ADVISORY SERVICES, LLC|ONE PARKER PLAZA, 9TH FLOOR||FORT LEE NJ 07024|USA|||  ||MONICA W. POON|(650) 312-4631|Limited Liability Company|Portfolio management for investment companies|APPROVED|05/16/1996|0|3|0|0|0|0
Northeast Regional Office| 111374|801-57812|JPMORGAN ASSET MANAGEMENT|DVCMM LLC|522 FIFTH AVENUE||NEW YORK NY 10036|USA|||  ||FRANCIS X. CURLEY|212-837-1275|Limited Liability Company|Other|APPROVED|07/26/2000|0|0|3|0|0|0
Northeast Regional Office| 111376|801-53068|FRANKLIN MUTUAL ADVISERS, LLC|FRANKLIN MUTUAL ADVISERS, LLC|51 JOHN F. KENNEDY PARKWAY||SHORT HILLS NJ 07078|USA|||  ||TIMOTHY S. STEARNS|TELEPHONE (954) 527-7630|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/10/1996|0|3|0|0|0|0
Northeast 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|5|0|0|0|0
Northeast 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|5|0|0|0|0
Northeast 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
Northeast Regional Office| 111407|801-54815|E H CAPITAL GROUP, L.L.C.|E H CAPITAL GROUP, L.L.C.|650 FIFTH AVENUE||NEW YORK NY 10019|USA|||  ||EDUARDO HAIM|(212) 265-3000|Limited Liability Company|Other|APPROVED|08/28/1997|0|0|0|0|0|0
Northeast Regional Office| 111457|801-57352|FIRST CAPITAL CONSULTING INC.|FIRST CAPITAL CONSULTING INC.|175 GREAT NECK RD|SUITE 250|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
Northeast 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
Northeast Regional Office| 111472|801-56922|UNION BANCAIRE PRIVEE ASSET MANAGEMENT LLC|UNION BANCAIRE PRIVEE ASSET MANAGEMENT LLC|30 ROCKEFELLER PLAZA|SUITE 2800|NEW YORK NY 10112|USA|||  ||JENNIFER AVICOLLI|(212) 218-6774|Limited Liability Company|Selection of other advisers|APPROVED|10/26/1999|0|0|0|0|0|0
Northeast 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 businesses or institutional clients (other than investment companies)|APPROVED|05/17/1995|0|0|0|0|0|0
Northeast Regional Office| 111503|801-36893|RETIREMENT SYSTEM INVESTORS INC|RETIREMENT SYSTEM INVESTORS INC|150 EAST 42ND STREET - 27TH FLOOR||NEW YORK NY 10017-5633|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), Selection of other advisers|APPROVED|08/01/1990|0|1|0|0|0|0
Northeast 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
Northeast Regional Office| 111545|801-49946|AFFILIATED PRIVATE INVESTORS LLC|AFFILIATED PRIVATE INVESTORS LLC|22 PEAPACK RD|PO BOX 931|FAR HILLS NJ 07931|USA|||  ||BRIAN MCNALLY|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
Northeast Regional Office| 111581|801-56891|CFM ADVISORS INC|CFM ADVISORS INC|1800 WALT WHITMAN ROAD|SUITE 120|MELVILLE NY 11747|USA|||  ||JASON R. SCHWARTZ|631-249-0503|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|10/25/1999|0|0|0|0|0|0
Northeast Regional Office| 111586|801-56117|ARTEMIS INVESTMENT MANAGEMENT LLC|ARTEMIS INVESTMENT MANAGEMENT LLC|437 MADISON AVE|28TH FLOOR|NEW YORK NY 10022|USA|||  ||JAMES IVAN THORNTON, JR.|212-207-2700|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
Northeast Regional Office| 111593|801-60913|CREDITSIGHTS, INC.|CREDITSIGHTS, INC.|470 PARK AVENUE SOUTH|12TH FLOOR|NEW YORK NY 10016|USA|||  ||DAVID T. KLUSENDORF|212.340.3881|Corporation|Publication of periodicals or newsletters|APPROVED|02/21/2002|0|0|0|0|0|0
Northeast Regional Office| 111596|801-13086|CAPITAL BUILDERS ADVISORY SERVICES INC|CAPITAL BUILDERS ADVISORY SERVICES INC|C/O TOCQUEVILLE, 19TH FLOOR|40 WEST 57TH STREET|NEW YORK CITY NY 10019|USA|||  ||STEPHEN TABB|212-698-0835|Corporation|Portfolio management for investment companies|APPROVED|06/23/1977|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 111691|801-58155|NEUBERGER BERMAN ASSET MANAGEMENT, LLC|NEUBERGER BERMAN ASSET MANAGEMENT, LLC|605 THIRD AVENUE||NEW YORK NY 10158|USA|||  ||LORAINE OLAVARRIA|646-497-4670|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/27/2000|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 111720|801-56260|CREDIT SUISSE FIRST BOSTON (BERMUDA) LIMITED|CREDIT SUISSE FIRST BOSTON (BERMUDA) LIMITED|11 MADISON AVENUE|16TH FLOOR|NEW YORK NY 10010|USA|||  ||ANDREA JOHNSTON|(212) 325-4507|Corporation|Other|APPROVED|03/08/1999|0|1|0|0|0|0
Northeast Regional Office| 111721|801-56980|BERSON & CORRADO FINANCIAL PLANNERS LLC|BERSON & CORRADO FINANCIAL PLANNERS 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
Northeast Regional Office| 111723|801-56074|MERCHANT CAPITAL, INC.|MERCHANT CAPITAL, INC.|11 MADISON AVENUE, 7TH FLOOR||NEW YORK NY 10010|USA|||  ||ANDREA JOHNSTON|(212) 325-4507|Corporation|Other|APPROVED|12/08/1998|0|1|0|0|0|0
Northeast 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|APPROVED|12/15/2000|0|0|0|0|0|0
Northeast 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|APPROVED|12/15/2000|0|1|0|0|0|0
Northeast 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
Northeast Regional Office| 111775|801-55390|STEVEN BRILL ADVISORS, INC.|STEVEN BRILL 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
Northeast Regional Office| 111777|801-55625|AXA ALTERNATIVE ADVISORS, INC|AXA ALTERNATIVE ADVISORS, INC|1370 AVENUE OF THE AMERICAS||NEW YORK NY 10019|USA|||  ||EDOUARD ROBBES|212-641-8611|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/10/1998|0|0|0|0|0|0
Northeast 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)|APPROVED|06/08/2001|0|0|0|0|0|0
Northeast Regional Office| 111815|801-55098|CAPITAL FORMATION ADVISERS LLC|CAPITAL FORMATION ADVISERS LLC|C/O STURSBERG & VEITH 405 LEXINGTON AVE||NEW YORK NY 10174-4902|USA|||  ||RICHARD C. VEITH|212-922-1177|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|12/31/1997|0|0|0|0|0|0
Northeast 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), Pension consulting services, Selection of other advisers|APPROVED|05/24/1996|0|0|0|0|0|0
Northeast 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
Northeast 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
Northeast 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
Northeast 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
Northeast Regional Office| 111888|801-57646|SILVER CAPITAL MANAGEMENT, LLC|SILVER CAPITAL MANAGEMENT, LLC|220 EAST 42ND STREET||NEW YORK NY 10017|USA|||  ||BRUCE S. SILVER|(212) 476-8880|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)|APPROVED|06/01/2000|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 111973|801-57620|CONCORD INVESTMENT MANAGEMENT|CONCORD INVESTMENT MANAGEMENT|667 MADISON AVENUE|19TH FLOOR|NEW YORK NY 10021|USA|||  ||JOHN A SKVARLA|212-759-6239|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/11/2000|0|0|0|0|0|0
Northeast Regional Office| 111984|801-60165|GALLATIN & COMPANY, LLC|GALLATIN & COMPANY, LLC|670 WHITE PLAINS ROAD- SUITE 316||SCARSDALE NY 10583|USA|||  ||DONALD L. TWISS|914-713-2400|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/06/2001|0|0|0|0|0|0
Northeast Regional Office| 111987|801-58135|RAAB & MOSKOWITZ ASSET MANAGEMENT LLC|RAAB & MOSKOWITZ ASSET MANAGEMENT LLC|719 RIVER ROAD||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
Northeast 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.|||  ||MYRNA YANNIEH|914-219-3010|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/16/1978|0|1|0|0|0|0
Northeast Regional Office| 112000|801-60262|CAPITAL ADVISORS GROUP, INC|CAPITAL ADVISORS GROUP, INC|389 PASSAIC AVE||FAIRFIELD NJ 07004|USA|||  ||JULIA B. JACOBSON|617-581-6938|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
Northeast 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
Northeast Regional Office| 112006|801-56730|JACOB ASSET MANAGEMENT OF NEW YORK LLC|JACOB ASSET MANAGEMENT OF NEW YORK LLC|19 WEST 34TH STREET, SUITE 816A||NEW YORK NY 10001|USA|||  ||RYAN I. JACOB|(212) 868-5970|Limited Liability Company|Portfolio management for investment companies|APPROVED|08/06/1999|0|0|0|0|0|0
Northeast 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|BRUCE BACHMAN|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
Northeast Regional Office| 112020|801-57723|MEAG NEW YORK CORPORATION|MEAG NEW YORK CORPORATION|540 MADISON AVENUE|6TH FLOOR|NEW YORK NY 10022|UNITED STATES|||  ||BETH S. RUBIN|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
Northeast 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
Northeast Regional Office| 112030|801-60228|UBS TAMARACK MANAGEMENT, L.L.C.|UBS TAMARACK MANAGEMENT, L.L.C.|1285 AVENUE OF THE AMERICAS|C/O UBS FINANCIAL SERVICES INC., 18TH FLOOR|NEW YORK NY 10019|USA|||  ||MARA P. GALEANO|201-352-0447|Limited Liability Company|Portfolio management for investment companies|APPROVED|05/18/2001|0|2|0|0|0|0
Northeast Regional Office| 112050|801-57997|LUCAS CAPITAL MANAGEMENT, L.L.C.|LUCAS CAPITAL MANAGEMENT, L.L.C.|328 NEWMAN SPRINGS RD.||RED BANK NJ 07701-5639|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
Northeast 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)|APPROVED|06/01/2001|0|0|0|0|0|0
Northeast Regional Office| 112148|801-56104|ALBRIOND CAPITAL MANAGEMENT LLC|ALBRIOND CAPITAL MANAGEMENT LLC|55 EAST 59TH ST 19TH FL||NEW YORK NY 10022|USA|||  ||KRISTI CHADWELL|212-752-0900|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|12/28/1998|1|1|2|0|0|0
Northeast Regional Office| 112180|801-30491|STILLROCK MANAGEMENT INC|STILLROCK MANAGEMENT INC|150 E 52ND ST, 8 FL||NEW YORK NY 10022|USA|||  ||KATHLEEN CORRADO|212-774-5460|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|09/16/1987|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 112213|801-60530|NEW YORK LIFE TRUST COMPANY, FSB|NEW YORK LIFE TRUST COMPANY, FSB|169 LACKAWANNA AVENUE||PARSIPPANY NJ 07054-1007|USA|||  ||RAMONA WALSH|973-394-4469|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|08/31/2001|0|37|4|0|0|0
Northeast 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
Northeast 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
Northeast 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
Northeast Regional Office| 112262|801-61390|INVESTOR SELECT ADVISORS LIMITED|INVESTOR SELECT ADVISORS LIMITED|535 MADISON AVENUE, 35TH FLOOR||NEW YORK NY 10022|USA|||  ||JOHN TRAMMELL|212-744-9100|Corporation|Selection of other advisers, Other|APPROVED|08/13/2002|0|0|0|0|0|0
Northeast 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
Northeast 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
Northeast Regional Office| 112326|801-55383|SOUTH STREET ADVISORS, LLC|SOUTH STREET ADVISORS, LLC|60 EAST 42ND STREET||NEW YORK NY 10165|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
Northeast Regional Office| 112329|801-56886|FIG ADVISORS LLC|FIG ADVISORS LLC|1251 AVENUE OF THE AMERICAS|16TH FLOOR|NEW YORK NY 10020|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
Northeast Regional Office| 112331|801-57084|FORTRESS FUND MM LLC|FORTRESS FUND MM LLC|1251 AVE OF THE AMERICAS|16TH FLOOR|NEW YORK NY 10020|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
Northeast Regional Office| 112356|801-56185|GATES ADVISORS INC|GATES ADVISORS INC|100 PARK AVE|22ND FLOOR|NEW YORK NY 10017|USA|||  ||YOUNG WHI KIM|212 661-8686|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|02/08/1999|0|1|0|0|0|0
Northeast Regional Office| 112397|801-58123|PEGASUS ASSOCIATES, LLC|PEGASUS ASSOCIATES, LLC|400 RELLA BLVD.|SUITE 157|MONTEBELLO NY 10901|USA|||  ||JOHN M. SEBASTIANO|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
Northeast Regional Office| 112446|801-57860|NITTANY FUNDS MANAGEMENT, LLC|NITTANY FUNDS MANAGEMENT, LLC|111 ROUTE 303 (SUITE 111)||TAPPAN NY 10983|USA|||  ||DERRECK R. CRIBBS|845-365-9165|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/17/2000|0|0|0|0|0|0
Northeast 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|CINDY MICHEL|212-526-9583|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
Northeast Regional Office| 112480|801-32115|FIDUCIARY CAPITAL ADVISORS INC|FIDUCIARY CAPITAL ADVISORS INC|570 WESTFIELD AVE||WESTFIELD NJ 07090|USA|||  ||EDWIN GORDON CRUIKSHANK|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
Northeast 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
Northeast 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
Northeast 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
Northeast Regional Office| 112550|801-60281|U.S. TRUST NEW YORK ASSET MANAGEMENT DIVISION|UNITED STATES TRUST COMPANY OF NEW YORK|114 WEST 47TH STREET||NEW YORK NY 10036-1532|USA|||  ||STEFANIE AIMEE FIRTELL|212-852-1032|Other (specify)|Portfolio management for investment companies|APPROVED|06/15/2001|0|2|0|0|0|0
Northeast 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
Northeast Regional Office| 112559|801-60223|BNY INVESTMENT ADVISORS|THE BANK OF NEW YORK|1633 BROADWAY||NEW YORK NY 10019|USA|||  ||KENNETH VINCENT CORRADO|212-212-641-7900|Other (specify)|Portfolio management for investment companies|APPROVED|05/03/2001|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 112578|801-55147|WEST SIDE ADVISORS LLC|WEST SIDE ADVISORS LLC|130 WEST 70TH STREET|#1G|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
Northeast Regional Office| 112580|801-57879|DC NELSON ASSET MANAGEMENT, LLC|DC NELSON ASSET MANAGEMENT, LLC|7 HANOVER SQ, 8TH FL, REDWOOD||NEW YORK NY 10004|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)|APPROVED|08/21/2000|0|0|0|0|0|0
Northeast Regional Office| 112591|801-35273|AUSTIN INVESTMENT MANAGEMENT INC.|AUSTIN INVESTMENT MANAGEMENT INC.|70 EAST 55TH STREET, 8TH FLOOR||NEW YORK NY 10022|USA|||  ||PETER A. VLACHOS|212-888-9292|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies|APPROVED|10/02/1989|0|0|0|0|0|0
Northeast Regional Office| 112596|801-60645|WHITE RIDGE INVESTMENT ADVISORS LLC|WHITE RIDGE INVESTMENT ADVISORS LLC|9 WEST 57TH STREET|19TH FLOOR|NEW YORK NY 10019-2701|USA|||  ||KEVIN G. FINNEGAN|646-313-8241|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/19/2001|0|4|1|0|0|0
Northeast 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
Northeast Regional Office| 112697|801-61065|AMERICAN PORTFOLIOS ADVISORS, INC|AMERICAN PORTFOLIOS ADVISORS. INC|4250 VETERAN'S MEMORIAL HIGHWAY|4TH. FLOOR EAST,|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), Selection of other advisers|APPROVED|04/08/2002|0|0|0|0|0|0
Northeast 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|64|2|0|0|0
Northeast Regional Office| 112733|801-12830|WILMERDING MILLER & CO INC|WILMERDING MILLER & CO INC|22 CHAMBERS ST,|SUITE 301|PRINCETON NJ 08452-3719|USA|||  ||WALTER WILMERDING|(609) 921-0373|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
Northeast 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
Northeast 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
Northeast 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|10|0|0|0|0
Northeast Regional Office| 112753|801-58286|GOLDENTREE ASSET MANAGEMENT LP|GOLDENTREE ASSET MANAGEMENT LP|300 PARK AVENUE||NEW YORK NY 10022|USA|||  ||GEORGE TRAVERS|212-847-3500|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/25/2001|0|0|0|0|0|0
Northeast Regional Office| 112777|801-60304|DB& FINANCIAL SERVICES, LLC|DB&B FINANCIAL SERVICES, LLC|443 NORTH FRANKLIN STREET, SUITE 100||SYRACUSE NY 13204|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
Northeast 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
Northeast Regional Office| 112801|801-56438|LUCENT ASSET MANAGEMENT CORPORATION|LUCENT ASSET MANAGEMENT CORPORATION|600 MOUNTAIN AVENUE, 7D-511||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
Northeast 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
Northeast 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 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
Northeast Regional Office| 112931|801-31055|SCARBOROUGH CAPITAL CORPORATION|SCARBOROUGH CAPITAL CORPORATION|ONE BRIDGE STREET||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
Northeast 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
Northeast Regional Office| 112973|801-60406|ACCESS WEALTH PLANNING, LLC|ACCESS WEALTH PLANNING, LLC|4 BECKER FARM ROAD|1ST FLOOR|ROSELAND NJ 07068|USA|||  ||CAROLYN M. STANZIALE|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
Northeast Regional Office| 112994|801-63778|PLANNING CAPITAL MANAGEMENT CORP.|PLANNING CAPITAL MANAGEMENT CORP.|1101 N. KINGS HIGHWAY, SUITE 310||CHERRY HILL NJ 08034|USA|||  ||MICHELE MANSI|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
Northeast 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
Northeast 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
Northeast Regional Office| 113058|801-56497|MENDON CAPITAL ADVISORS CORP|MENDON CAPITAL ADVISORS CORP|150 ALLENS CREEK ROAD||ROCHESTER NY 14618|USA|||  ||CRAIG DAILY|212-808-3740|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
Northeast 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
Northeast 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
Northeast Regional Office| 113121|801-55720|THIRD MILLENNIUM INVESTMENT ADVISORS, LLC|THIRD MILLENNIUM INVESTMENT ADVISORS, LLC|1185 AVENUE OF THE AMERICAS||NEW YORK NY 10036|USA|||  ||JAMES LAWRENCE MELCHER|212-768-9000|Limited Liability Company|Portfolio management for investment companies|APPROVED|07/20/1998|0|0|0|0|0|0
Northeast Regional Office| 113128|801-57576|CULLEN CAPITAL MANAGEMENT, LLC|CULLEN CAPITAL MANAGEMENT, LLC|645 FIFTH AVENUE|7TH FLOOR|NEW YORK NY 10022|USA|||  ||BRENDA PONS|212-644-1800|Limited Liability Company|Portfolio management for investment companies|APPROVED|05/31/2000|0|0|0|0|0|0
Northeast Regional Office| 113215|801-53950|SPIELBERGER DAMPF BRILL & LEVINE LLC|SPIELBERGER DAMPF BRILL & LEVINE LLC|500 NORTH BROADWAY SUITE 223||JERICHO NY 11753|USA|||  ||ROBERT LEVINE|631.777.1666|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/25/1997|0|0|0|0|0|0
Northeast 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 E.GARDNER|212-850-7519|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/13/2001|0|0|0|0|0|0
Northeast 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|||  ||PAUL DUTTON|212-667-9015|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
Northeast Regional Office| 113357|801-60359|COVINGTON & ASSOCIATES, INC.|COVINGTON & ASSOCIATES, INC.|31 RAVENSWOOD LANE||SCOTCH PLAINS NJ 07076|USA|||  ||HUGH RICHARD COVINGTON II|908-754-6580|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
Northeast Regional Office| 113358|801-57341|WATER ISLAND CAPITAL, LLC|JOHN SABBOTT ORRICO|650 FIFTH AVENUE 6TH FLOOR||NEW YORK NY 10019|USA|||  ||MATTHEW HEMBERGER|212-259-2656|Limited Liability Company|Portfolio management for investment companies|APPROVED|03/17/2000|0|0|0|0|0|0
Northeast Regional Office| 113359|801-29862|BEAR STEARNS ASSET MANAGEMENT INC|BEAR STEARNS ASSET MANAGEMENT INC|383 MADISON AVENUE|29TH FLOOR|NEW YORK NY 10179-0024|U.S.A.|115 SOUTH JEFFERSON ROAD|ATTN: DOROTHY STANIEC|WHIPPANY NJ 07981|U.S.A.|BARBARA KELLER|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|7|1|0|0|0
Northeast Regional Office| 113376|801-60404|BOLTER & COMPANY, LLC|BOLTER & COMPANY, LLC|226 SEVENTH STREET|SUITE 202|GARDEN CITY NY 11530|USA|||  ||MARK HEANEY|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
Northeast 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
Northeast Regional Office| 113409|801-58013|GEMINI MANAGEMENT & RESEARCH LLC|GEMINI MANAGEMENT & RESEARCH LLC|95 RIVER ST. STE. 5A||HOBOKEN NJ 07030|USA|||  ||MARCEL ENGENHEIRO|201-418-8988|Limited Liability Company|Portfolio management for investment companies|APPROVED|10/18/2000|0|0|0|0|0|0
Northeast Regional Office| 113419|801-60655|STARVIEW CAPITAL MANAGEMENT LLC|STARVIEW CAPITAL MANAGEMENT LLC|2 GRAND CENTRAL TOWER|140 E. 45TH STREET, 16TH FLOOR|NEW YORK NY 10017|USA|||  ||CYNTHIA CORSIGLIA|212 937 6450|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|10/26/2001|0|0|0|0|0|0
Northeast Regional Office| 113423|801-61104|AMAS SECURITES, INC.|AMAS SECURITES, INC.|520 MADISON AVENUE|40TH FLOOR|NEW YORK NY 10022|USA|||  ||ALI GANJAEI|212-355-0755|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|04/24/2002|0|0|0|0|0|0
Northeast Regional Office| 113499|801-60436|PEGASUS GROUP, LLC|PEGASUS GROUP, LLC|400 RELLA BLVD.|SUITE 157|MONTEBELLO NY 10901|USA|||  ||JOHN M. SEBASTIANO|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
Northeast 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, 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
Northeast Regional Office| 113598|801-60349|ASSET ALLIANCE ADVISORS INC.|ASSET ALLIANCE ADVISORS INC.|800 THIRD AVENUE, 22ND FL.||NEW YORK NY 10022|USA|||  ||SAMANTHA RICK|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
Northeast 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
Northeast 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
Northeast Regional Office| 113638|801-8948|WILKINSON OGRADY & CO. INC.|WILKINSON OGRADY & CO. INC.|520 MADISON AVE., 25TH FLOOR||NEW YORK NY 10022|USA|||  ||JUERG GRIMM|(212) 644 5252|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/22/1972|0|0|0|0|0|0
Northeast Regional Office| 113648|801-60622|CONRAD CAPITAL MANAGEMENT, INC.|CONRAD CAPITAL MANAGEMENT, INC.|425 BROADHOLLOW RD|SUITE 116|MELVILLE NY 11747|USA|||  ||REGINE DAVID|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
Northeast 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|||  ||PAUL J. JACOBELLO|(212) 801-2303|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/03/2001|0|0|0|0|0|0
Northeast Regional Office| 113673|801-60388|ANALYTIC ASSET MANAGEMENT, INC.|ANALYTIC ASSET MANAGEMENT, INC.|600 THIRD AVENUE,  17TH FL.||NEW YORK NY 10016-1901|USA|||  ||TAYLOR T. GRAY|212.984.6270|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
Northeast 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
Northeast Regional Office| 113736|801-60467|CSFB GLOBAL OPPORTUNITIES ADVISERS, LLC|CSFB GLOBAL OPPORTUNITIES ADVISERS, 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|9|0|0|0|0
Northeast 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|Other|APPROVED|12/11/1986|0|0|0|0|0|0
Northeast Regional Office| 113755|801-58075|TRADITION CAPITAL MANAGEMENT LLC|TRADITION CAPITAL MANAGEMENT LLC|86 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
Northeast Regional Office| 113832|801-60387|ALTMAN INVESTMENT MANAGEMENT LLC|ALTMAN INVESTMENT MANAGEMENT LLC|16 TOMLYN DRIVE||PRINCETON NJ 08540|USA|||  ||PETER 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
Northeast 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|||  ||THOMAS D. DEVITA|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
Northeast Regional Office| 113918|801-60455|EMERALD RESEARCH CORP.|EMERALD RESEARCH CORPORATION|16 RIMWOOD LANE||COLTS NECK NJ 07722|USA|||  ||PETER J. LENCKI|732-842-3504|Corporation|Portfolio management for investment companies|APPROVED|08/03/2001|0|1|0|0|0|0
Northeast 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
Northeast 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
Northeast Regional Office| 114176|801-37615|CLIFFORD ASSET MANAGEMENT|CLIFFORD RUSSELL, INC.|450 PARK AVENUE||NEW YORK NY 10022|USA|||  ||STEVEN TETI|212-758-6777|Corporation|Financial planning services, Selection of other advisers|APPROVED|10/15/1990|0|0|0|0|0|0
Northeast Regional Office| 114177|801-60452|KATAHDIN CAPITAL, LLC|KATAHDIN CAPITAL, LLC|540 MADISON AVE, SUITE 30A||NEW YORK NY 10022-3213|USA|||  ||MIKHAIL MUNENZON|212-380-4220|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/02/2001|0|1|0|0|0|0
Northeast 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
Northeast Regional Office| 114338|801-64459|WESTROCK ADVISORS, INC.|WESTROCK ADVISORS, INC.|230 PARK AVE|SUITE 934|NEW YORK NY 10169|USA|||  ||DON HUNTER|212-922-1995|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|07/01/2005|0|1|0|0|0|0
Northeast Regional Office| 114432|801-61064|THE CANANDAIGUA NATIONAL BANK AND TRUST COMPANY|THE CANANDAIGUA NATIONAL BANK AND TRUST COMPANY|72 SOUTH MAIN STREET||CANANDAIGUA NY 14424|USA|||  ||JAY J. BACHSTEIN|585-419-0606|Other (specify)|Portfolio management for investment companies|APPROVED|04/12/2002|0|0|0|0|0|0
Northeast Regional Office| 114547|801-60575|PEA CAPITAL LLC|PEA CAPITAL LLC|1345 AVENUE OF THE AMERICAS|48TH FLOOR|NEW YORK NY 10105|USA|680 NEWPORT CENTER DRIVE|SUITE 250|NEWPORT BEACH CA 92660|UNITED STATES|JANET SQUITIERI|(212) 739-3231|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/17/2001|0|3|2|0|0|0
Northeast Regional Office| 114673|801-32082|NOVOS PLANNING ASSOCIATES INC|NOVOS PLANNING ASSOCIATES INC|120 EAST 56TH ST.|SUITE 430|NEW YORK NY 10022|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
Northeast Regional Office| 114687|801-61280|SEGAL ADVISORS, INC.|SEGAL ADVISORS, INC.|ONE PARK AVENUE||NEW YORK NY 10016|USA|||  ||FRANCES|212-251-5067|Corporation|Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|10/02/2002|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 114730|801-24575|AMERICAN HERITAGE MANAGEMENT|AMERICAN HERITAGE MANAGEMENT CORP.|845 THIRD AVENUE|14TH FLOOR|NEW YORK NY 10022|USA|||  ||BENNO THIEME|2125540708|Corporation|Portfolio management for investment companies|APPROVED|06/18/1985|0|0|0|0|0|0
Northeast 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|1|0|0|0|0
Northeast Regional Office| 114753|801-37533|THE PORTFOLIO STRATEGY GROUP, INC.|THE PORTFOLIO STRATEGY GROUP, INC.|81 MAIN STREET|SUITE 209|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
Northeast 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
Northeast 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
Northeast Regional Office| 115122|801-61925|CORNERSTONE PROFESSIONAL ADVISOR SERVICES, LLC|CORNERSTONE PROFESSIONAL ADVISOR SERVICES, LLC|80 CUTTER MILL ROAD 2ND FLOOR||GREAT NECK NY 11021-3108|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
Northeast Regional Office| 115507|801-60601|H.A. SCHUPF & CO., LLC|H.A. SCHUPF & CO., LLC|590 MADISON AVENUE||NEW YORK NY 10022|USA|||  ||SCHUPF, H. AXEL|(212) 294-6500|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
Northeast 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
Northeast 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
Northeast Regional Office| 115754|801-60639|AGRI-INVEST, LLC|AGRI-INVEST, LLC|101 SOUTH SALINA STREET|SUITE 750|SYRACUSE NY 13202|USA|||  ||CRAIG 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
Northeast 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
Northeast Regional Office| 116357|801-60776|HILTON CAPITAL MANAGEMENT, LLC|HILTON CAPITAL MANAGEMENT, LLC|59 HILTON AVENUE||GARDEN CITY NY 11530|USA|||  ||BARBARA J. LAUDISI|516-535-3800|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
Northeast 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
Northeast Regional Office| 116421|801-60656|FOX ASSET MANAGEMENT LLC|FOX ASSET MANAGEMENT LLC|331 NEWMAN SPRINGS ROAD|SUITE 122|RED BANK NJ 07701|USA|||  ||ANN-MARIE HAWKSBY|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
Northeast Regional Office| 116776|801-61010|NEW YORK LIFE CAPITAL PARTNERS|NYLCAP MANAGER LLC|51 MADISON AVENUE, STE. 3009||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|37|4|0|0|0
Northeast 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
Northeast 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
Northeast Regional Office| 116959|801-60908|TAG ASSOCIATES LLC|TAG ASSOCIATES LLC|75 ROCKEFELLER PLAZA|9TH FLOOR|NEW YORK NY 10019|USA|||  ||MARK FRIEDMAN|212 275 1550|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|01/01/2002|0|0|0|0|0|0
Northeast Regional Office| 116974|801-60774|MSVP 2002, INC.|MSVP 2002, INC.|1585 BROADWAY|38TH FLOOR, ATTN:  DEBRA ABRAMOVITZ|NEW YORK NY 10036|USA|||  ||AGATHA PAKRUDA|212-762-6190|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/09/2002|0|0|0|0|0|0
Northeast 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
Northeast 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|||  ||MARY CADEMARTORI|212-526-0624|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|11/30/2001|0|8|3|0|0|0
Northeast Regional Office| 117149|801-60720|LITCHFIELD MANAGEMENT CORP.|LITCHFIELD MANAGEMENT CORP.|880 THIRD AVENUE|16TH FLOOR|NEW YORK NY 10022|USA|||  ||MATTHEW MURPHY|212-350-7258|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/27/2001|0|0|0|0|0|0
Northeast Regional Office| 117172|801-60732|HBOS INVESTMENT ADVISOR INC.|HBOS INVESTMENT ADVISOR INC.|565 FIFTH AVENUE||NEW YORK NY 10017|USA|||  ||MICHAEL N. OBOLENSKY|(212)450-0843|Corporation|Other|APPROVED|11/29/2001|0|0|0|0|0|0
Northeast Regional Office| 117198|801-27265|ROCHDALE INVESTMENT MANAGEMENT|ROCHDALE INVESTMENT MANAGEMENT LLC|570 LEXINGTON AVE.|9TH FLOOR|NEW YORK NY 10022|USA|||  ||KURT HAWKESWORTH|212-702-3551|Limited Liability Company|Portfolio 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
Northeast Regional Office| 117225|801-61490|FITZMAURICE INVESTMENT MANAGEMENT SERVICES, LLC|FITZMAURICE INVESTMENT MANAGEMENT SERVICES, LLC|11 PENN PLAZA|SUITE 2105|NEW YORK NY 10001|USA|||  ||JOHN E. WILHOIT, JR.|646-792-7362|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|10/03/2002|0|5|0|0|0|0
Northeast Regional Office| 117232|801-64472|NIXON PEABODY FINANCIAL ADVISORS,  LLC|NIXON PEABODY FINANCIAL ADVISORS,  LLC|1100 CLINTON SQUARE||ROCHESTER NY 14604|USA|||  ||G. JOSEPH VOTAVA, JR.|585-263-1442|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|07/18/2005|0|0|0|0|0|0
Northeast Regional Office| 117307|801-60710|WHITNEY & COMPANY|W.G.SHAHEEN & ASSOCIATES,LTD.|311 ALEXANDER STREET||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
Northeast 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|0|0|0|0
Northeast 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
Northeast Regional Office| 117567|801-65857|NORTHEAST ASSET MANAGEMENT, INC.|NORTHEAST ASSET MANAGEMENT, INC.|OMNI BUILDING, 333 EARLE OVINGTON BOULEVARD|SUITE 706|MITCHEL FIELD NY 11553-3645|USA|||  ||STEPHEN J. PERRONE|516-396-1619|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
Northeast Regional Office| 117773|801-61080|ARDEN ASSET MANAGEMENT LLC|ARDEN ASSET MANAGEMENT LLC|350 PARK AVENUE|29TH FLOOR|NEW YORK NY 10022|USA|||  ||S. DOV LANDO|212-751-5252|Limited Liability Company|Other|APPROVED|04/15/2002|0|0|0|0|0|0
Northeast Regional Office| 117827|801-60745|GUGGENHEIM INVESTMENT MANAGEMENT, LLC|GUGGENHEIM INVESTMENT MANAGEMENT, LLC|135 EAST 57TH STREET|9TH FLOOR|NEW YORK NY 10022|USA|||  ||TODD BOEHLY|212-651-9450|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/04/2001|0|0|0|0|0|0
Northeast Regional Office| 117884|801-60790|OVERBROOK MANAGEMENT CORPORATION|OVERBROOK MANAGEMENT CORPORATION|122 EAST 42ND STREET|SUITE 2500|NEW YORK NY 10168-2500|USA|||  ||ALAN J. REEF|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
Northeast Regional Office| 117985|801-61554|SPARX INVESTMENT & RESEARCH, USA, INC.|SPARX INVESTMENT & RESEARCH, USA, INC.|360 MADISON AVENUE|22ND 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), Selection of other advisers|APPROVED|10/29/2002|0|0|0|0|0|0
Northeast 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|0|0|0|0|0|0
Northeast 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
Northeast 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
Northeast 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
Northeast 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|||  ||MARTIN JAFFE|(212) 649-0600|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), Selection of other advisers|APPROVED|03/19/2002|0|2|0|0|0|0
Northeast Regional Office| 118357|801-60808|SUFFOLK CAPITAL MANAGEMENT|SUFFOLK CAPITAL MANAGEMENT LLC|1633 BROADWAY|40TH FLOOR|NEW YORK NY 10019|USA|||  ||DON GILBERT|-212-24|Limited Liability Company|Portfolio 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
Northeast Regional Office| 118527|801-60815|FERRO CAPITAL LLC|FERRO CAPITAL LLC|400 MADISON AVENUE|12TH FLOOR|NEW YORK NY 10017|USA|||  ||CHRISTOPHER BURDEN|212-308-7500|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/02/2002|0|0|0|0|0|0
Northeast Regional Office| 118544|801-60820|ZDR WEALTH MANAGEMENT, LLC|ZDR WEALTH MANAGEMENT, LLC|70 E. MAIN STREET||MOORESTOWN NJ 08057|USA|||  ||JOE ROMAN|856-234-0900|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|12/21/2001|0|0|0|0|0|0
Northeast 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|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|01/01/2002|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 118798|801-61024|TELLIGENT INVESTMENT MANAGEMENT, LLC|TELLIGENT INVESTMENT MANAGEMENT, LLC|17 BATTERY PLACE|SUITE 602|NEW YORK NY 10004|USA|||  ||GEORGE LIN|(212) 440-8900|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
Northeast 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
Northeast 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
Northeast 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
Northeast 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
Northeast Regional Office| 118961|801-46920|EAMES FINANCIAL|EAMES FINANCIAL|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
Northeast Regional Office| 118968|801-60898|STEINBERG ASSET MANAGEMENT, LLC|STEINBERG ASSET MANAGEMENT, LLC|12 EAST 49TH STREET||NEW YORK NY 10017|USA|||  ||BRENNA WALTZER|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
Northeast 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
Northeast 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|APPROVED|06/04/2004|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 119043|801-61480|WILLIAMS CAPITAL MANAGEMENT, LLC|WILLIAMS CAPITAL MANAGEMENT, LLC|650 FIFTH AVENUE, 11TH FLOOR||NEW YORK NY 10019|USA|||  ||DAIL ST. CLAIRE|212-373-4260|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
Northeast 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
Northeast 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
Northeast Regional Office| 119126|801-61805|SPRING MOUNTAIN CAPITAL, LP|SPRING MOUNTAIN CAPITAL, LP|65 E. 55TH STREET|33RD FLOOR|NEW YORK NY 10022|USA|||  ||GREGORY P. HO|212-292-8310|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
Northeast 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
Northeast 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
Northeast Regional Office| 119161|801-60914|REINOSO ASSET MANAGEMENT, INC.|REINOSO ASSET MANAGEMENT, INC.|9 EAST 45TH STREET|7TH FLOOR|NEW YORK NY 10017|USA|||  ||WILLIAM H. NAPIER|212-832-9700|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|02/07/2002|0|0|0|0|0|0
Northeast 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
Northeast 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
Northeast 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
Northeast 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
Northeast Regional Office| 119376|801-61254|PIERMONT FINANCIAL INC.|PIERMONT FINANCIAL INC.|48 SOUTH SERVICE ROAD, SUITE 100||MELVILLE NY 11747|USA|||  ||PHILIP J. CAPELL|631-756-1000|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|06/13/2002|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 119537|801-60990|CITIGROUP ALTERNATIVE INVESTMENTS LLC|CITIGROUP ALTERNATIVE INVESTMENTS LLC|399 PARK AVENUE|7TH FLOOR|NEW YORK NY 10043|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|0|0|0|0|0
Northeast Regional Office| 119543|801-61231|FRM (RESEARCH) LLC|FRM (RESEARCH) LLC|888 SEVENTH AVENUE|24TH FLOOR|NEW YORK NY 10019|USA|||  ||MICHAEL STRASHINSKY|212-810-2341|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
Northeast Regional Office| 119597|801-65323|MAGNOLIA CAPITAL MANAGEMENT|MAGNOLIA CAPITAL MANAGEMENT, LTD.|44 CHESTNUT ST.||COLD SPRING NY 10516|USA|PO BOX 312||COLD SPRING NY 10516-0312|USA|CAROL POWELL|845-265-2780|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
Northeast 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
Northeast 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
Northeast 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
Northeast Regional Office| 119840|801-61511|NUVERSE ADVISORS LLC|NUVERSE ADVISORS LLC|645 FIFTH AVENUE, SUITE 1200||NEW YORK NY 10022|USA|||  ||WILLIAM F. ROSENBLUM, JR.|212 507-9133|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
Northeast 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), Selection of other advisers|APPROVED|04/19/2002|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 119964|801-61154|THE STREET.COM, INC.|THE STREET.COM, INC.|14 WALL STREET|15TH FLOOR|NEW YORK NY 10005|USA|||  ||JORDAN MARC GOLDSTEIN|212-321-5475|Corporation|Publication of periodicals or newsletters|APPROVED|05/21/2002|0|0|1|0|0|0
Northeast Regional Office| 120030|801-61421|TRIDENT INVESTMENT MANAGEMENT, LLC|TRIDENT INVESTMENT MANAGEMENT, LLC|909 THIRD AVENUE|29TH FLOOR|NEW YORK NY 10022|USA|||  ||KRINSHNAMURTHY NARAYANAN|(212) 350-4710|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|08/22/2002|0|0|0|0|0|0
Northeast 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
Northeast 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
Northeast Regional Office| 120291|801-61476|MG ADVISERS, L.L.C.|MG ADVISERS, L.L.C.|153 EAST 53RD STREET|55TH FLOOR|NEW YORK NY 10022|USA|||  ||ROSE CARLING|212-207-6500|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/04/2002|0|0|0|0|0|0
Northeast Regional Office| 120292|801-61477|SST ADVISERS, L.L.C.|SST ADVISERS, L.L.C.|153 EAST 53RD STREET|55TH FLOOR|NEW YORK NY 10022|USA|||  ||ROSE CARLING|212-207-6500|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/20/2002|0|0|0|0|0|0
Northeast Regional Office| 120325|801-61090|ALTERNATIVE INVESTMENT PARTNERS LLC|ALTERNATIVE INVESTMENT PARTNERS LLC|701 WESTCHESTER AVE.  SUITE 308W||WHITE PLAINS NY 10604|USA|||  ||LEE W. SCHULTHEIS|(914) 761-5800|Limited Liability Company|Portfolio management for investment companies|APPROVED|04/19/2002|0|0|0|0|0|0
Northeast Regional Office| 120418|801-61093|HIGHMOUNT CAPITAL|HIGHMOUNT CAPITAL, LLC|12 EAST 49 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
Northeast 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
Northeast 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|||  ||CHRISTOPHER L. O'DELL|212-761-4464|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/21/2002|0|0|1|0|0|0
Northeast Regional Office| 120664|801-61221|STONEBRIDGE CAPITAL MANAGEMENT VII, LLC|STONEBRIDGE CAPITAL MANAGEMENT VII, 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)|APPROVED|05/31/2002|0|0|0|0|0|0
Northeast Regional Office| 120680|801-61171|ROSZEL ADVISORS, LLC|ROSZEL ADVISORS, LLC|1300 MERRILL LYNCH DRIVE||PENNINGTON NJ 08534|USA|GLOBAL REGISTRATION & INSURANCE LICENSING|4804 DEER LAKE DR. E., 4TH FLOOR|JACKSONVILLE FL 32246|USA|GENE E. PORTER JR.|(904) 218-7922|Limited Liability Company|Portfolio management for investment companies, Selection of other advisers, Other|APPROVED|05/16/2002|0|0|1|0|0|0
Northeast Regional Office| 120759|801-61463|STONEHENGE FINANCIAL PARTNERS, LLC|STONEHENGE FINANCIAL PARTNERS, LLC|708 THIRD AVENUE, 18TH FLOOR||NEW YORK NY 10017|USA|||  ||DEAN SMITH|212-697-7000|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/17/2002|0|0|0|0|0|0
Northeast 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
Northeast 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
Northeast 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
Northeast Regional Office| 120905|801-62822|MASTERS LEGACY PLANNING, INC.|MASTERS LEGACY PLANNING, INC.|501 BAY AVENUE, SUITE 202||SOMERS POINT NJ 08244|USA|POST OFFICE BOX 600||SOMERS POINT NJ 08244||TODD C. CHAMERLAIN|609-601-9850|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
Northeast 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
Northeast 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
Northeast Regional Office| 121026|801-61222|DRAKE MANAGEMENT, LLC|DRAKE CAPITAL MANAGEMENT, LLC|660 MADISON AVENUE, 16TH FLOOR||NEW YORK NY 10021|USA|||  ||STEVEN J. LUTTRELL|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
Northeast Regional Office| 121050|801-61290|ACCESS INTERNATIONAL ADVISORS LLC|ACCESS INTERNATIONAL ADVISORS LLC|509 MADISON AVENUE, 22ND FLOOR||NEW YORK NY 10022-5513|USA|||  ||BILL RAPAVY|646-840-0776|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/27/2002|0|0|0|0|0|0
Northeast Regional Office| 121160|801-61264|KEEFE MANAGERS, LLC|KEEFE MANAGERS, LLC|375 PARK AVENUE|23RD FLOOR|NEW YORK NY 10152-0139|USA|||  ||JOHN J. LYONS|212-754-2000|Limited Liability Company|Other|APPROVED|05/31/2002|0|0|0|0|0|0
Northeast Regional Office| 121299|801-61557|CHRISTOFFERSON, ROBB & COMPANY|CHRISTOFFERSON, ROBB & COMPANY, LLC|750 LEXINGTON AVENUE|15TH FLOOR|NEW YORK NY 10022|USA|||  ||RICHARD ROBB|(212) 863-2575|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/29/2002|0|0|0|0|0|0
Northeast 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
Northeast 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
Northeast Regional Office| 121351|801-61331|KN ASSET MANAGEMENT, INC.|KN ASSET MANAGEMENT, INC.|410 PARK AVENUE, 7TH FLOOR||NEW YORK NY 10022|USA|||  ||PAT TAYLOR|410-754-9376|Corporation|Portfolio management for investment companies|APPROVED|07/19/2002|0|0|0|0|0|0
Northeast Regional Office| 121356|801-64356|S.F. EHRLICH ASSOCIATES, INC.|S.F. EHRLICH ASSOCIATES, INC.|49-51 MAIN STREET||CLINTON NJ 08809|USA|PO BOX 5020||CLINTON NJ 08809|USA|STANLEY F. EHRLICH|908 730-0811|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/13/2005|0|0|0|0|0|0
Northeast Regional Office| 121402|801-61339|TEN-SIXTY ASSET MANAGEMENT, INC.|TEN-SIXTY ASSET MANAGEMENT, INC.|575 LEXINGTON AVENUE|SUITE 400|NEW YORK NY 10022|USA|||  ||PHILIP CANNISTRARO|(212) 572-9627|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/07/2002|1|0|0|0|0|0
Northeast Regional Office| 121412|801-63331|THE BARON FINANCIAL GROUP LLC|THE BARON FINANCIAL GROUP LLC|16-00 ROUTE 208||FAIR LAWN NJ 07410|USA|||  ||STEPHEN CRAFFEN|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), 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
Northeast 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|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|03/07/2003|0|0|0|0|0|0
Northeast 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
Northeast 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
Northeast Regional Office| 121516|801-65455|HINTZ, HOLMAN & ROBILLARD, INC.|HINTZ, HOLMAN & ROBILLARD, INC.|4 CONNELL DRIVE|SUITE 5100|BERKELEY HEIGHTS NJ 07922|UNITED STATES|||  ||TIMOTHY C. KLAG|(908) 771-3900|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/18/2006|0|0|0|0|0|0
Northeast 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
Northeast 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|||  ||WOODY SCHLACKMAN|212-278-4569|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|08/09/2002|0|0|0|0|0|0
Northeast Regional Office| 121608|801-61771|DPC MANAGEMENT, LLC|DPC MANAGEMENT, LLC|500 LAKE STREET|SUITE D|RAMSEY NJ 07446|USA|||  ||MARY ELLEN DAVIS|201-760-9654|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|02/03/2003|0|0|0|0|0|0
Northeast Regional Office| 121767|801-61698|JEFFERIES INVESTMENT ADVISERS, LLC|JEFFERIES INVESTMENT ADVISERS, LLC|520 MADISON AVENUE, 12TH FLOOR||NEW YORK NY 10022-4213|USA|||  ||ROBERT J. ALBANO|212-284-2262|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
Northeast 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
Northeast 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: DOROTHY STANIEC|WHIPPANY NJ 07981|USA|DOROTHY STANIEC|973-793-2255|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/25/2002|0|6|1|0|0|0
Northeast Regional Office| 122003|801-61357|GARTMORE RIVERVIEW LLC|GARTMORE RIVERVIEW LLC|THE GALLERIA, 2 BRIDGE AVE.|BUILDING 6, 2ND FLOOR|REDBANK NJ 07701|USA|||  ||PETER TODD|732-936-2885|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/27/2002|0|0|0|0|0|0
Northeast 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
Northeast 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, Selection of other advisers|APPROVED|08/02/2002|0|0|0|0|0|0
Northeast 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
Northeast 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
Northeast Regional Office| 122352|801-61456|FORTRESS FUND MM II LLC|FORTRESS FUND MM II LLC|1251 AVENUE OF THE AMERICAS|16TH FLOOR|NEW YORK NY 10020|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
Northeast Regional Office| 122374|801-61455|SAGE CAPITAL MANAGEMENT|ROBECO-SAGE CAPITAL MANAGEMENT, L.L.C.|909 THIRD AVENUE|28TH FLOOR|NEW YORK NY 10022|USA|||  ||MARY ANN IUDICE|212-908-9620|Limited Liability Company|Portfolio management for investment companies, Other|APPROVED|09/13/2002|0|2|0|0|0|0
Northeast Regional Office| 122391|801-61410|STONY BROOK PARTNERS, LLC|STONY BROOK PARTNERS, LLC|47 HULFISH STREET|SUITE 201|PRINCETON NJ 08542|USA|||  ||ANDREW M. OKUN|(609) 683-8200|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/23/2002|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 122669|801-61452|AMSTAR INVESTMENT MANAGEMENT LLC|AMSTAR INVESTMENT MANAGEMENT LLC|225 WEST 34TH STREET|SUITE 718|NEW YORK NY 10122|USA|225 WEST 34TH STREET|SUITE 718|NEW YORK NY 10122|USA|MARK J. SFARRA|212-209-8840|Limited Liability Company|Portfolio management for investment companies|APPROVED|09/09/2002|0|0|0|0|0|0
Northeast Regional Office| 122697|801-65620|AMPERE CAPITAL|AMPERE CAPITAL MANAGEMENT, LP|101 E. 52ND STREET||NEW YORK NY 10022-7678|USA|||  ||RICHARD J. JOSLIN|646-825-4425|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/2006|0|0|0|0|0|0
Northeast 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
Northeast 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|||  ||JUDITH C. VERTUCCI|212-247-2990|Limited Liability Company|Other|APPROVED|10/24/2002|0|0|0|0|0|0
Northeast Regional Office| 122819|801-61521|AJ INVESTMENT ADVISORS, LLC|AJAA INVESTMENT ADVISORS, LLC|189 BERDAN AVENUE NO. 422||WAYNE NJ 07470|USA|||  ||ELLIOT DORBIAN|973-872-0773|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/09/2002|0|0|0|0|0|0
Northeast 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|11|0|0|0|0
Northeast 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
Northeast 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
Northeast Regional Office| 123061|801-62212|RECON CAPITAL, LLC|RECON CAPITAL, LLC|909 THIRD AVENUE, 29TH FLOOR||NEW YORK NY 10022|USA|||  ||ROBERT L. FRIEND|212-350-5005|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/23/2003|0|0|0|0|0|0
Northeast Regional Office| 123150|801-61499|TRUSTCO BANK|TRUSTCO BANK|3 SARNOWSKI DRIVE||GLENVILLE NY 12302|USA|||  ||KEVIN M. CURLEY|518-381-3857|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|09/27/2002|0|0|0|0|0|0
Northeast Regional Office| 123235|801-61565|PFA/PINNACLE FINANCIAL ADVISORS|PINNACLE TAXX ADVISORS LLC|1311 MAMARONECK AVENUE||WHITE PLAINS NY 10605|USA|||  ||ROBERT F. WALSH|914-761-3208|Limited 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|11/06/2002|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 123542|801-61545|FIRST NIAGARA BANK|FIRST NIAGARA BANK|6950 S. TRANSIT ROAD||LOCKPORT NY 14094|USA|PO BOX 514||LOCKPORT NY 14095-0514|USA|DARLENE V. STEINWACHS|716-625-7563|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|10/30/2002|0|0|0|0|0|0
Northeast Regional Office| 123645|801-61969|BELSIZE LLC|BELSIZE LLC|61 BROADWAY, SUITE 2925||NEW YORK NY 10006|USA|61 BROADWAY, SUITE 2925||NEW YORK NY 10006|USA|JOHN M. MOOREN|212-422-3601|Limited Liability Company|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
Northeast Regional Office| 123811|801-62466|CMC ADVISORS, INC.|CMC ADVISORS, INC.|75 BROAD STREET|30TH FLOOR|NEW YORK NY 10004|USA|||  ||PATRICIA E. CARABELLO|212-402-1860|Corporation|Pension consulting services|APPROVED|10/31/2003|0|0|0|0|0|0
Northeast Regional Office| 123992|801-61631|LOEB OFFSHORE MANAGEMENT, LLC|LOEB OFFSHORE MANAGEMENT, LLC|61 BROADWAY- 24TH FLOOR||NEW YORK NY 10006|USA|||  ||GIDEON J. KING|212-483-7000|Limited Liability Company|Other|APPROVED|01/02/2003|0|1|0|0|0|0
Northeast 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
Northeast 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
Northeast 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
Northeast Regional Office| 124125|801-61609|NORTHSTAR FUNDING MANAGEMENT LLC|NORTHSTAR FUNDING MANAGEMENT LLC|527 MADISON AVENUE 16TH FLOOR||NEW YORK NY 10022|USA|||  ||MARK E CHERTOK|212-319-2618|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/27/2002|0|0|0|0|0|0
Northeast Regional Office| 124203|801-61608|NORTHSTAR FUNDING MANAGING MEMBER LLC|NORTHSTAR FUNDING MANAGING MEMBER LLC|527 MADISON AVENUE 16TH FLOOR||NEW YORK NY 10022|USA|||  ||DAVID G. KING|212-319-2416|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/12/2002|0|0|0|0|0|0
Northeast 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
Northeast 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
Northeast 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
Northeast 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
Northeast Regional Office| 124394|801-61645|PARTNERS TRUST BANK TRUST DEPARTMENT|PARTNERS TRUST BANK TRUST DEPARTMENT|68 EXCHANGE STREET||BINGHAMTON NY 13901|USA|||  ||LES DISTIN|607-779-2517|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|12/06/2002|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 124417|801-62085|ZEKARIA PARTNERS, LLC|ZEKARIA PARTNERS, LLC|55 FIFTH AVENUE|17TH FLOOR|NEW YORK NY 10003|USA|||  ||CARL J. 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
Northeast 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
Northeast 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
Northeast Regional Office| 124454|801-61985|ALLEN INVESTMENT MANAGEMENT, LLC|ALLEN INVESTMENT MANAGEMENT, LLC|711 5TH AVENUE,8TH FLOOR||NEW YORK NY 10022|USA|||  ||ROSEMARY FANELLI|212.339.2324|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
Northeast 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
Northeast Regional Office| 124506|801-62585|M.D. SASS FINANCIAL STRATEGIES MANAGEMENT COMPANY, L.L.C.|M.D. SASS FINANCIAL STRATEGIES MANAGEMENT COMPANY, L.L.C.|1185 AVENUE OF THE AMERICAS||NEW YORK NY 10036|USA|||  ||BOBBY LIU|212-730-2000|Limited Liability Company|Other|APPROVED|01/02/2004|0|0|0|0|0|0
Northeast 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
Northeast 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|||  ||RICHARD A. ROSENBERG|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
Northeast Regional Office| 124560|801-61722|AEA QP ADVISERS LLC|AEA QP ADVISERS LLC|65 EAST 55TH STREET||NEW YORK NY 10022|USA|||  ||CHRISTINE J. SMITH|212-702-0513|Limited Liability Company|Other|APPROVED|01/16/2003|0|0|0|0|0|0
Northeast Regional Office| 124561|801-61721|AEA ADVISERS LLC|AEA ADVISERS LLC|65 EAST 55TH STREET||NEW YORK NY 10022|USA|||  ||CHRISTINE J. SMITH|212-702-0513|Limited Liability Company|Other|APPROVED|01/16/2003|0|0|0|0|0|0
Northeast Regional Office| 124612|801-61732|CDK INVESTMENT MANAGEMENT LLC|CDK INVESTMENT MANAGEMENT LLC|405 PARK AVENUE|11TH FLOOR|NEW YORK NY 10022|USA|||  ||THOMAS W. KEESEE|212 871 8500|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/23/2003|0|0|0|0|0|0
Northeast Regional Office| 124613|801-61792|MARATHON ASSET MANAGEMENT, LLC|MARATHON ASSET MANAGEMENT, LLC|461 5TH AVENUE|10TH FLOOR|NEW YORK NY 10017|USA|||  ||ANDREW RABINOWITZ|212-381-4461|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/21/2003|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 124665|801-61752|DISCOVERY CAPITAL MGMT. LLC|DISCOVERY CAPITAL MANAGEMENT, LLC|295 MADISON AVENUE|5TH FLOOR|NEW YORK NY 10017|USA|||  ||THOMAS ZUCOSKY|212-403-9540|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/03/2003|0|0|0|0|0|0
Northeast 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
Northeast 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|631.979.7470|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
Northeast Regional Office| 124938|801-63143|AIG CAPITAL PARTNERS, INC.|AIG CAPITAL PARTNERS, INC.|599 LEXINGTON AVENUE|24TH FLOOR|NEW YORK NY 10022|USA|||  ||ROBIN BERGER|646-735-0516|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/27/2004|0|4|2|0|0|0
Northeast Regional Office| 124982|801-61786|ROBECO INVESTMENT MANAGEMENT|ROBECO USA, INC.|909 THIRD AVENUE|32ND FLOOR|NEW YORK NY 10022|USA|||  ||MARY ANN IUDICE|212-908-9620|Corporation|Selection of other advisers|APPROVED|02/19/2003|0|7|0|0|0|0
Northeast 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
Northeast 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
Northeast 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
Northeast Regional Office| 125143|801-62156|GARTMORE SEPARATE ACCOUNTS, LLC|GARTMORE SEPARATE ACCOUNTS, LLC|94 NORTH BROADWAY||IRVINGTON NY 10533|USA|||  ||DANIEL W. PORTANOVA|800-711-6270|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/12/2003|0|0|0|0|0|0
Northeast Regional Office| 125157|801-65052|MASON CAPITAL MANAGEMENT LLC|MASON CAPITAL MANAGEMENT LLC|110 EAST 59TH STREET|30TH FLOOR|NEW YORK NY 10022|USA|||  ||JOHN  GRIZZETTI|212-771-1232|Limited Liability Company|Other|APPROVED|01/03/2006|0|0|0|0|0|0
Northeast Regional Office| 125212|801-61820|MAXIM ADVISORY LLC|MAXIM ADVISORY LLC|405 LEXINGTON AVENUE|2ND FLOOR|NEW YORK NY 10174|USA|||  ||GERARD MCCARTHY|212-895-3605|Limited Liability Company|Other, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|03/12/2003|0|4|0|0|0|0
Northeast Regional Office| 125221|801-61943|BYRNE ASSET MANAGEMENT, LLC|BYRNE ASSET MANAGEMENT, LLC|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
Northeast Regional Office| 125231|801-61832|CSFB PRIVATE EQUITY ADVISERS, LLC|CSFB PRIVATE EQUITY ADVISERS, LLC|ELEVEN MADISON AVENUE||NEW YORK NY 10010|USA|||  ||ANDREA JOHNSTON|212-325-4507|Limited Liability Company|Other|APPROVED|03/21/2003|0|1|0|0|0|0
Northeast Regional Office| 125352|801-62894|OAK HILL ADVISORS, L.P.|OAK HILL ADVISORS, L.P.|65 EAST 55TH STREET 32ND FLOOR||NEW YORK NY 10022|USA|||  ||RAYMOND P. MURPHY|212-326-1571|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/25/2004|0|0|0|0|0|0
Northeast 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|||  ||STEPHEN LOWE|(212) 731-2104|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/28/2005|0|0|0|0|0|0
Northeast Regional Office| 125580|801-62653|PROFESSIONAL FINANCIAL|PROFESSIONAL FINANCIAL STRATEGIES, INC|101 SULLY'S TRAIL,|BLDG. 20, SUITE 8|PITTSFORD NY 14534-0999|USA|P.O. BOX 999||PITTSFORD NY 14534-0999|USA|PAUL BYRON HILL|585-218-9292|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|01/23/2004|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 125648|801-62147|PKS ADVISORY SERVICES, LLC|PKS ADVISORY SERVICES, LLC|18 CORPORATE WOODS BOULEVARD||ALBANY NY 12211|USA|||  ||PETER S. TAFT|(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
Northeast 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|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
Northeast Regional Office| 125727|801-66356|DARTMOUTH ADVISORY SERVICES,INC.|DARTMOUTH ADVISORY SERVICES,INC.|71 CLINTON ROAD - 2ND FLOOR||GARDEN CITY NY 11530-4728|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
Northeast 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
Northeast Regional Office| 125838|801-64369|HIGHLAND FINANCIAL ADVISORS, LLC|HIGHLAND FINANCIAL ADVISORS, LLC|210 ROUTE FOUR EAST|#308A|PARAMUS NJ 07652|USA|||  ||REED C. FRAASA|201-587-1080|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|06/23/2005|0|0|0|0|0|0
Northeast Regional Office| 125882|801-64228|STRATEGIC WEALTH MANAGEMENT GROUP|STRATEGIC ADVISORS LLC|888 SEVENTH AVE|STE 301A|NEW YORK NY 10106|USA|40 WEST 77TH STREET|APT 4F|NEW YORK NY 10024|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
Northeast 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
Northeast 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|APPROVED|06/08/2004|0|0|0|0|0|0
Northeast Regional Office| 126020|801-61920|THE GROUP FOR FINANCIAL PLANNING LLC|THE GROUP FOR FINANCIAL PLANNING LLC|77 VALLEY RD.||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
Northeast 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|1|0|0|0|0
Northeast Regional Office| 126054|801-63819|STRATEGIC FINANCIAL CONSULTANTS, LTD.|STRATEGIC FINANCIAL CONSULTANTS, LTD.|100 CROSSWAYS PARK DRIVE WEST|STE 206|WOODBURY NY 11797|USA|||  ||THOMAS GALLO|516-496-9500|Corporation|Financial planning services, Publication of periodicals or newsletters|APPROVED|01/28/2005|0|0|0|0|0|0
Northeast 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
Northeast 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|212-622-7822|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Other|APPROVED|04/09/2003|0|0|0|0|0|0
Northeast Regional Office| 126155|801-64779|ADIRONDACK FINANCIAL SERVICES CORP|ADIRONDACK FINANCIAL SERVICES CORP|185 GENESEE STREET|SUITE 210|UTICA NY 13501|USA|||  ||JANICE P. WILLIAMS|(315) 724-4186|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|10/03/2005|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 126175|801-62168|E H WILLIAMS CAPITAL MANAGEMENT|EH WILLIAMS CAPITAL MANAGEMENT, LLC|650 FIFTH AVENUE|11TH FLOOR|NEW YORK NY 10019|USA|||  ||DAIL ST. CLAIRE|212-373-4260|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/26/2003|0|2|0|0|0|0
Northeast 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
Northeast Regional Office| 126224|801-63705|JOHN G. GILOOLY, CPA|GILOOLY, JOHN GOODWIN|646 PLANK ROAD,|SUITE 101|CLIFTON PARK NY 12065|USA|||  ||KRISTIN SICA|(518)383-0243|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/03/2005|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 126339|801-64419|TIMOTHY J. WATTERS CFP|WATTERS, TIMOTHY JOHN|251 WYCKOFF AVE.,||RAMSEY NJ 07446|USA|||  ||TIMOTHY J. WATTERS|201-818-0156|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|06/17/2005|0|0|0|0|0|0
Northeast 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
Northeast 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
Northeast Regional Office| 126486|801-62070|TRAXIS PARTNERS LLC|TRAXIS PARTNERS LLC|600 FIFTH AVENUE|26TH FLOOR|NEW YORK NY 10020|USA|||  ||PATRICK LESLIE DEGRACA|212 332 5195|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/15/2003|0|0|0|0|0|0
Northeast Regional Office| 126487|801-62150|PINNACLE ASSET MANAGEMENT, L.P.|PINNACLE ASSET MANAGEMENT, L.P.|570 LEXINGTON AVENUE, 25TH FLOOR||NEW YORK NY 10022|USA|||  ||JOHN J. LEE|212-750-2132|Partnership|Other|APPROVED|06/20/2003|0|0|0|0|0|0
Northeast Regional Office| 126495|801-62028|QUATTRO GLOBAL CAPITAL, LLC|QUATTRO GLOBAL CAPITAL, LLC|546 FIFTH AVE., 19TH FLOOR||NEW YORK NY 10036|USA|||  ||ANDREW M. KAPLAN|212.201.8760|Limited Liability Company|Portfolio management for individuals and/or small businesses, Other|APPROVED|05/02/2003|0|0|0|0|0|0
Northeast Regional Office| 126524|801-62300|FRISCH FINANCIAL GROUP, INC.|FRISCH FINANCIAL GROUP, INC.|48 SOUTH SERVICE ROAD|SUITE 100|MELVILLE NY 11747|USA|||  ||DAVID A. FRISCH|516-616-6760|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
Northeast Regional Office| 126530|801-63901|TAG EISNER LLC|TAG EISNER LLC|75 ROCKEFELLER PLZ|SUITE 900|NEW YORK NY 10019|USA|||  ||MARK L. FRIEDMAN|212 275 1550|Limited Liability Company|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|02/17/2005|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 126574|801-62107|POND EDGE CAPITAL, LLC|POND EDGE CAPITAL, LLC|411 THEODORE FREMD AVE.|SUITE 206 SOUTH|RYE NY 10580|USA|||  ||STUART FRIEDMAN|914 925-3550|Limited 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|06/04/2003|0|2|0|0|0|0
Northeast 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
Northeast 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|0|0|0|0|0
Northeast 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
Northeast 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
Northeast Regional Office| 126780|801-62011|MORGAN STANLEY HEDGE FUND PARTNERS GP LP|MORGAN STANLEY HEDGE FUND PARTNERS GP LP|1221 AVENUE OF THE AMERICAS|33RD FL|NEW YORK NY 10022|USA|||  ||MADELINE BARKHORN|212-762-7206|Other (specify)|Other|APPROVED|05/16/2003|0|0|0|0|0|0
Northeast Regional Office| 126781|801-62012|MORGAN STANLEY HEDGE FUND PARTNERS LP|MORGAN STANLEY HEDGE FUND PARTNERS LP|1221 AVENUE OF THE AMERICAS|33RD FL|NEW YORK NY 10022|USA|||  ||MADELINE BARKHORN|212-762-7206|Other (specify)|Other|APPROVED|05/16/2003|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 126985|801-62428|GEORGETOWNE FUND MANAGEMENT|GEORGETOWNE FUND MANAGEMENT CORPORATION|7 REDDY LANE||LOUDONVILLE NY 12211|USA|||  ||PAUL K. HOFFMEISTER|518-221-1978|Corporation|Portfolio management for investment companies|APPROVED|10/28/2003|0|0|0|0|0|0
Northeast 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|Other|APPROVED|07/02/2003|0|4|1|0|0|0
Northeast 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
Northeast 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
Northeast 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
Northeast Regional Office| 127206|801-62114|ORBIMED CAPITAL II LLC|ORBIMED CAPITAL II LLC|767 3RD AVENUE|30TH FLOOR|NEW YORK NY 10017|USA|||  ||ERIC A. BITTELMAN|212-739-6400|Limited Liability Company|Other|APPROVED|06/03/2003|0|0|0|0|0|0
Northeast 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|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
Northeast Regional Office| 127315|801-62294|WELLS, CANNING & ASSOCIATES INC.|WELLS, CANNING & ASSOCIATES INC.|555 PLEASANTVILLE ROAD|SUITE 250 N|BRIARCLIFF MANOR NY 10510|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
Northeast 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
Northeast Regional Office| 127410|801-62366|N D BITTNER & CO. INC.|N D BITTNER & CO. INC.|181 MAIN STREET|PO BOX 351|PEAPACK NJ 07977|USA|P.O.BOX 351||PEAPACK NJ 07977|USA|LINDA MACBETH|908-234-2229|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
Northeast 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|||  ||CHRISTOPHER L. O'DELL|212-761-4464|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/07/2003|0|0|1|0|0|0
Northeast Regional Office| 127498|801-62183|OAM AVATAR LLC|OAM AVATAR LLC|350 MADISON AVENUE|11TH FLOOR|NEW YORK NY 10017|USA|||  ||CHRISTOPHER KERR LAVAGNINO|212-624-1895|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
Northeast Regional Office| 127612|801-62228|ADAIR CAPITAL, LLC.|ADAIR CAPITAL, LLC.|405 PARK AVENUE|8TH FLOOR|NEW YORK NY 10022|USA|||  ||CHARLES ROSENBERG|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
Northeast Regional Office| 127631|801-62253|APEX CAPITAL MANAGEMENT, LLC|APEX CAPITAL MANAGEMENT, LLC|570 LEXINGTON AVENUE, 25TH FLOOR||NEW YORK NY 10022|USA|||  ||WILLIS WILLIAMS|212-750-5400|Limited Liability Company|Other|APPROVED|08/01/2003|0|0|0|0|0|0
Northeast Regional Office| 127679|801-63068|EMANCIPATION CAPITAL LLC|EMANCIPATION CAPITAL LLC|1120 AVENUE OF THE AMERICAS|SUITE 1504|NEW YORK NY 10036-6700|USA|||  ||JONATHAN ROTHENBERG|212-626-2641|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/03/2004|0|0|0|0|0|0
Northeast Regional Office| 127796|801-63798|G2 CAPITAL MANAGEMENT, LLC|G2 CAPITAL MANAGEMENT, LLC|580 5TH AVENUE|SUITE 1400|NEW YORK NY 10036|USA|||  ||JEFFREY MCCARTHY|858-454-6670|Limited Liability Company|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
Northeast 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
Northeast 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
Northeast 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
Northeast Regional Office| 127895|801-63157|BATTENKILL ASSET MANAGEMENT, LLC|BATTENKILL ASSET MANAGEMENT, LLC|122 EAST 42ND STREET|SUITE 4710|NEW YORK NY 10168|USA|||  ||DAVID O'BRIEN|212-599-1235|Limited Liability Company|Other|APPROVED|05/14/2004|0|0|0|0|0|0
Northeast 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
Northeast 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|Publication of periodicals or newsletters, Other|APPROVED|08/01/2003|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 128100|801-62336|APOLLO DIF MANAGEMENT, L.P.|APOLLO DIF MANAGEMENT, L.P.|9 WEST 57TH STREET|SUITE 4100|NEW YORK NY 10019|USA|||  ||MICHAEL D. WEINER|310-843-1990|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/05/2003|0|0|0|0|0|0
Northeast Regional Office| 128107|801-62298|RIEDEL RESEARCH GROUP, INC|RIEDEL RESEARCH GROUP, INC|10 LEONARD ST|7S|NEW YORK NY 10013|USA|||  ||DAVID RIEDEL|1-212-334-6365|Corporation|Publication of periodicals or newsletters, Other|APPROVED|08/29/2003|0|0|0|0|0|0
Northeast Regional Office| 128132|801-62330|BLUEMOUNTAIN CAPITAL MANAGEMENT L.P.|BLUEMOUNTAIN CAPITAL MANAGEMENT L.P.|330 MADISON AVENUE||NEW YORK NY 10017|USA|||  ||STEPHEN SIDEROW|212-905-3905|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/05/2003|0|0|0|0|0|0
Northeast Regional Office| 128138|801-62393|KNIGHT VINKE ASSET MANAGEMENT LLC|KNIGHT VINKE ASSET MANAGEMENT LLC|489 FIFTH AVENUE||NEW YORK NY 10017-6100|USA|||  ||PATRICK DEWEZ|+377 9325 0977|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/14/2003|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 128222|801-62346|MERIDIAN CAPITAL PARTNERS, INC.|MERIDIAN CAPITAL PARTNERS, INC.|20 CORPORATE WOODS BOULEVARD|4TH FLOOR|ALBANY NY 12211|USA|||  ||PETER M. BROWN|(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
Northeast 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|USA|||  ||MARYANN LAMENDOLA|(212) 278-6189|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/01/2004|0|13|0|0|0|0
Northeast Regional Office| 128357|801-62392|GREAT OAKS CAPITAL MANAGEMENT, LLC|GREAT OAKS CAPITAL MANAGEMENT, LLC|660 MADISON AVENUE, 14TH FLOOR||NEW YORK NY 10021|USA|||  ||ANDREW K. BOSZHARDT, JR.|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
Northeast Regional Office| 128386|801-62345|ALTANES INVESTMENTS, LLC|ALTANES INVESTMENTS, LLC|111 BROADWAY|17TH FLOOR|NEW YORK NY 10006-1914|USA|||  ||MURRI P. HESTER|646-442-2193|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
Northeast Regional Office| 128500|801-62489|GLENN H. BAER, CPA|BAER, GLENN HOWARD|95 LOWER POST ROAD||GHENT NY 12075|USA|||  ||BARBARA BEERS|518-828-3132|Sole Proprietorship|Financial planning services, Selection of other advisers|APPROVED|10/31/2003|0|0|0|0|0|0
Northeast Regional Office| 128531|801-62445|CENTRIC TRUST WEALTH COUNSEL & MANAGEMENT, LLC|CENTRIC TRUST WEALTH COUNSEL & MANAGEMENT, LLC|6580 MAIN STREET||WILLIAMSVILLE NY 14221|USA|||  ||MICHAEL GIOKAS|716-634-4562|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|11/28/2003|0|0|1|0|0|0
Northeast Regional Office| 128627|801-63578|PERSONAL ASSET STRATEGIES, INC.|PERSONAL ASSET STRATEGIES, INC.|ONE OLD COUNTRY ROAD|SUITE 282|CARLE PLACE NY 11514-1807|USA|||  ||JEFFREY 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
Northeast Regional Office| 128652|801-62522|TAHOE ADVISERS|TAHOE ADVISERS L.L.C.|560 SYLVAN AVENUE||ENGLEWOOD CLIFFS NJ 07632|USA|||  ||STEVEN BRAVERMAN|201-654-0100|Limited Liability Company|Portfolio management for individuals and/or small businesses, Security ratings or pricing services, Other|APPROVED|11/13/2003|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 128716|801-62575|INVESTMENT ADVISORS ASSET MANAGEMENT, LLC|INVESTMENT ADVISORS ASSET MANAGEMENT, LLC|40 STATE ROUTE #36|SUITE 3|WEST LONG BRANCH NJ 07764|USA|||  ||JOSEPH C. PARSONS|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
Northeast 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
Northeast 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
Northeast Regional Office| 128764|801-63144|CTR FINANCIAL GROUP LLC|CTR FINANCIAL GROUP LLC|25 DEFOREST AVE||SUMMIT NJ 07901|USA|||  ||JAMES 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
Northeast 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
Northeast Regional Office| 128793|801-62460|ASSET MANAGEMENT CONSULTING SERVICES, INC.|ASSET MANAGEMENT CONSULTING SERVICES, INC.|26 POST LANE||LIVINGSTON NJ 07039|USA|||  ||KEITH ABRAMSON|212-984-6200|Corporation|Selection of other advisers|APPROVED|10/24/2003|0|0|0|0|0|0
Northeast Regional Office| 128838|801-62492|TRICADIA CDO MANAGEMENT, LLC|TRICADIA CDO MANAGEMENT, LLC|767 THIRD AVENUE|11TH FLOOR|NEW YORK NY 10017|USA|||  ||JULIA WYATT|646-388-5926|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/07/2003|0|0|0|0|0|0
Northeast Regional Office| 128962|801-62652|ALJEN ASSET MANAGEMENT LLC|ALJEN ASSET MANAGEMENT LLC|95 EAST MAIN STREET  SUITE 202||DENVILLE NJ 07834|USA|||  ||ELLIOTT S COLLINS|973-664-1703|Limited Liability Company|Financial 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|01/06/2004|0|0|0|0|0|0
Northeast 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|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|09/06/2005|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 129108|801-62702|PRINCETON ADVISORY GROUP, INC.|PRINCETON ADVISORY GROUP, INC.|700 ALEXANDER PARK|SUITE 302|PRINCETON NJ 08540|USA|||  ||MUNISH SOOD|609 514-0441|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/23/2004|0|0|0|0|0|0
Northeast Regional Office| 129112|801-62699|NORTHSTAR ASSET MANAGEMENT LLC|NORTHSTAR ASSET MANAGEMENT LLC|19 MISTY LANE||ANDOVER NJ 07821|USA|||  ||CAROL 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
Northeast Regional Office| 129271|801-62551|DIX HILLS PARTNERS, LLC|DIX HILLS PARTNERS, LLC|3 BECKER FARM ROAD||ROSELAND NJ 07068|USA|||  ||WILLIAM L. GORDON|973-994-7198|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/02/2004|0|0|0|0|0|0
Northeast Regional Office| 129347|801-62622|LYRA CAPITAL LLC|LYRA CAPITAL LLC|2 GRAND CENTRAL TOWER, 16TH FLOOR|140 E. 45TH STREET|NEW YORK NY 10017|USA|||  ||CHRISTINE LINK|(212) 277-6440|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/20/2004|0|0|0|0|0|0
Northeast Regional Office| 129410|801-62504|FAIRFIELD GREENWICH ADVISORS LLC|FAIRFIELD GREENWICH ADVISORS LLC|919 THIRD AVENUE|11TH FLOOR|NEW YORK NY 10022|USA|||  ||MARK MCKEEFRY|212-991-5246|Limited Liability Company|Other|APPROVED|11/17/2003|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 129451|801-62540|PARK PIEDMONT ADVISORS LLC|PARK PIEDMONT ADVISORS LLC|565 PARK AVENUE|APT. 7E|NEW YORK NY 10021|USA|||  ||VICTOR LEVINSON|212-588-0015|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
Northeast 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
Northeast Regional Office| 129475|801-63273|JP WEALTH MANAGEMENT, INC.|JP WEALTH MANAGEMENT, INC.|977 NORTH BROADWAY||MASSAPEQUA NY 11758|USA|||  ||JOHN FRANCIS CAREY|843-416-1120|Corporation|Financial planning 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
Northeast 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), Selection of other advisers|APPROVED|11/24/2003|0|0|0|0|0|0
Northeast Regional Office| 129484|801-62526|GRAND SLAM ASSET MANAGEMENT, LLC|GRAND SLAM ASSET MANAGEMENT, LLC|ONE BRIDGE PLAZA, SUITE 355||FORT LEE NJ 07024|USA|||  ||MITCHELL SACKS|201-346-4335|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/28/2003|1|0|1|0|0|0
Northeast Regional Office| 129523|801-62704|BEACON WEALTH MANAGEMENT, LLC|BEACON WEALTH MANAGEMENT LLC|65 HARRISTOWN ROAD||GLEN ROCK NJ 07452|USA|||  ||MARK 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|2|0|0|0|0
Northeast Regional Office| 129612|801-62982|FORTRESS INVESTMENT GROUP LLC|FORTRESS INVESTMENT GROUP 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)|APPROVED|04/27/2004|0|1|1|0|0|0
Northeast 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|0|0|0|0|0
Northeast 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
Northeast Regional Office| 129645|801-62625|HADDON STRATEGIC ALLIANCES, INC.|HADDON STRATEGIC ALLIANCES, INC.|89 NORTH HADDON AVENUE||HADDONFIELD NJ 08033|USA|||  ||JOHN ARMAND ERMILIO|856-795-2588|Corporation|Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|01/20/2004|0|0|0|0|0|0
Northeast 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|Financial planning services, 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
Northeast Regional Office| 129664|801-62612|ARTEMIS ADVISORS, LLC|ARTEMIS ADVISORS, LLC|450 PARK AVENUE, 25TH FLOOR||NEW YORK NY 10022|USA|||  ||LLOYD APPEL|917-322-7006|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/02/2004|0|0|0|0|0|0
Northeast Regional Office| 129683|801-63824|ZEPHYR MANAGEMENT, L.P.|ZEPHYR MANAGEMENT, L.P.|320 PARK AVENUE|28TH FLOOR|NEW YORK NY 10022|USA|||  ||MS. TINA KERIAZES|212-508-9418|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/14/2005|0|0|0|0|0|0
Northeast 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|EMANUEL WEINTRAUB|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
Northeast Regional Office| 129737|801-63471|ACAM ADVISORS LLC|ACAM ADVISORS LLC|335 MADISON AVENUE||NEW YORK NY 10017|USA|||  ||LIAM CROKE|212-920-8308|Limited Liability Company|Other|APPROVED|09/02/2004|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 129787|801-63441|LADENBURG THALMANN FUND MANAGEMENT LLC|LADENBURG THALMANN FUND MANAGEMENT LLC|590 MADISON AVENUE|34TH FLOOR|NEW YORK NY 10022|USA|||  ||STEVEN MULLOOLY|212-409-2546|Limited Liability Company|Portfolio management for investment companies, Selection of other advisers|APPROVED|11/12/2004|0|11|0|0|0|0
Northeast Regional Office| 129789|801-62672|CSM CAPITAL CORPORATION|CSM CAPITAL CORPORATION|909 THIRD AVENUE|30TH FLOOR|NEW YORK NY 10022|USA|||  ||KERRY J. BROSKY|(212)350-1819|Corporation|Portfolio management for individuals and/or small businesses, Other|APPROVED|01/16/2004|0|0|0|0|0|0
Northeast Regional Office| 129800|801-63194|SANDHILL CAPITAL PARTNERS LLC|SANDHILL CAPITAL PARTNERS LLC|646 N. FRENCH RD|SUITE 7|AMHERST NY 14228|USA|||  ||EDWIN M. JOHNSTON, III|716-568-1010|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|0|0|0|0|0
Northeast Regional Office| 129833|801-62626|STONEWATER CAPITAL LLC|STONEWATER CAPITAL LLC|277 PARK AVENUE, 49TH FLOOR||NEW YORK NY 10172|USA|||  ||JUDY HALABY|212-207-5540|Limited Liability Company|Other|APPROVED|01/12/2004|0|0|0|0|0|0
Northeast Regional Office| 129874|801-62630|TRACER CAPITAL MANAGEMENT L.P.|TRACER CAPITAL MANAGEMENT L.P.|540 MADISON AVENUE, 21ST 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
Northeast Regional Office| 129921|801-63176|OCH-ZIFF REAL ESTATE ADVISORS, L.L.C.|OCH-ZIFF REAL ESTATE ADVISORS, L.L.C.|9 WEST 57TH STREET,39TH FLOOR||NEW YORK NY 10019|USA|||  ||DANIEL S. OCH|212-790-0120|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/27/2004|0|0|0|0|0|0
Northeast Regional Office| 129934|801-63794|SUNNYMEATH ASSET MANAGEMENT, INC.|SUNNYMEATH ASSET MANAGEMENT, INC.|1070 OCEAN AVENUE||SEA BRIGHT NJ 07760-4102|USA|||  ||JERRY A. GROSPE|732-936-1150|Corporation|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
Northeast Regional Office| 129936|801-62837|AZIMUTH ALTERNATIVE ASSETS LLC|AZIMUTH ALTERNATIVE ASSETS LLC|162 FIFTH AVENUE, 8TH FLOOR||NEW YORK NY 10010|USA|||  ||TERENCE S. MEEHAN|212-366-8700|Limited Liability Company|Financial planning 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|02/25/2004|0|0|0|0|0|0
Northeast 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
Northeast 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|Other|APPROVED|03/26/2004|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 130023|801-62639|AH LISANTI CAPITAL GROWTH, LLC|AH LISANTI CAPITAL GROWTH, LLC|623 FIFTH AVENUE||NEW YORK NY 10022|USA|||  ||J. ERIC ANDERSON|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
Northeast Regional Office| 130063|801-62661|XYLEM GLOBAL PARTNERS, LLC|XYLEM GLOBAL PARTNERS, LLC|122 EAST 42ND STREET|SUITE 4700|NEW YORK NY 10168|USA|||  ||WILLIAM J. BIRMINGHAM|212-661-2992|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/16/2004|0|0|0|0|0|0
Northeast Regional Office| 130065|801-62898|SAGE ASSET MANAGEMENT, L.L.C.|SAGE ASSET MANAGEMENT, L.L.C.|500 FIFTH AVENUE|SUITE 930|NEW YORK NY 10110|USA|||  ||BRET CUMMINGS|212-521-0929|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/17/2004|0|0|0|0|0|0
Northeast Regional Office| 130124|801-62922|DOMINION BOND RATING SERVICE, INC.|DOMINION BOND RATING SERVICE, INC.|ONE EXCHANGE PLAZA|55 BROADWAY, SUITE 1502|NEW YORK NY 10006|USA|||  ||PAMELA NARAIN|416-593-5577|Corporation|Other|APPROVED|04/08/2004|0|0|0|0|0|0
Northeast Regional Office| 130138|801-62888|GENWORTH FINANCIAL ASSET MANAGEMENT, LLC|GENWORTH FINANCIAL ASSET MANAGEMENT, LLC|666 3RD AVENUE|9TH FLOOR|MANHATTAN NY 10017|USA|||  ||RENUKA GUPTA|212-895-4071|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
Northeast 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|||  ||CHRISTOPHER J. BROWN|212-380-5500|Limited Liability Company|Portfolio management for investment companies|APPROVED|12/17/2004|0|1|1|0|0|0
Northeast 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|||  ||CARLTON THOMPSON|212 984 3813|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/02/2004|0|0|0|0|0|0
Northeast 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 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
Northeast 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
Northeast Regional Office| 130352|801-62755|MACQUARIE INFRASTRUCTURE FUND ADVISER, LLC|MACQUARIE INFRASTRUCTURE FUND ADVISER, LLC|125 WEST 55 STREET||NY NY 10019|USA|||  ||ROSE E. BARRY|212-231-1572|Limited Liability Company|Portfolio management for investment companies|APPROVED|02/06/2004|0|0|0|0|0|0
Northeast 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
Northeast 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, Other|APPROVED|04/05/2004|0|0|0|0|0|0
Northeast Regional Office| 130605|801-62906|SPERRY FUND MANAGEMENT LLC|SPERRY FUND MANAGEMENT LLC|400 PARK AVENUE, SUITE 1620||NEW YORK NY 10022|USA|||  ||ANDY CHAN|212-888-8800|Limited Liability Company|Selection of other advisers|APPROVED|03/17/2004|0|0|0|0|0|0
Northeast Regional Office| 130606|801-62892|TORREY MANAGEMENT ASSOCIATES, LLC|TORREY MANAGEMENT ASSOCIATES, LLC|505 PARK AVENUE|5TH FLOOR|NEW YORK NY 10022|USA|||  ||EILEEN B. SPENCER|212 644-7800|Limited Liability Company|Selection of other advisers, Other|APPROVED|03/12/2004|0|0|0|0|0|0
Northeast 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|||  ||MICHAEL D. WEINER|(310) 843-1990|Partnership|Portfolio management for investment companies|APPROVED|02/23/2004|0|0|0|0|0|0
Northeast Regional Office| 130752|801-62958|ANGELO, GORDON ADVISORS, LLC|ANGELO, GORDON ADVISORS, LLC|245 PARK AVENUE, 26TH FLOOR||NEW YORK NY 10167|USA|||  ||JOHN TAYLOR|(212) 692-8238|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|03/30/2004|0|0|0|0|0|0
Northeast Regional Office| 130760|801-65874|MORTON FINANCIAL, INC.|MORTON FINANCIAL, INC.|40 CHESTNUT STREET||GLEN COVE NY 11542|USA|||  ||JONATHAN A. MORTON|(773) 227-8602|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|01/27/2006|0|0|0|0|0|0
Northeast Regional Office| 130786|801-62878|CELESTAR CAPITAL ADVISORS, LLC|CELESTAR CAPITAL ADVISORS, LLC|630 FIFTH AVENUE|SUITE 1414|NEW YORK NY 10111|USA|||  ||ALPA RANA|212-218-2016|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/18/2004|0|0|0|0|0|0
Northeast Regional Office| 130811|801-63042|MAYER & HOFFMAN CAPITAL ADVISORS, LLC|MAYER & HOFFMAN CAPITAL ADVISORS, 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
Northeast 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|USA|||  ||ANTHONY ANSELMO|(212) 634-7343|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/16/2004|0|0|0|0|0|0
Northeast Regional Office| 130849|801-64963|RIVERSTONE INVESTMENT SERVICES, LLC|RIVERSTONE INVESTMENT SERVICES, LLC|712 FIFTH AVENUE, 51ST FLOOR||NEW YORK NY 10019|USA|||  ||PIERRE F. LAPEYRE, JR.|212-993-0093|Limited Liability Company|Other|APPROVED|12/09/2005|0|0|0|0|0|0
Northeast 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|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/15/2004|0|0|0|0|0|0
Northeast 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|239-261-3555|Limited Liability Company|Portfolio 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
Northeast Regional Office| 130930|801-62902|TAURUS ASSET MANAGEMENT, LLC|TAURUS ASSET MANAGEMENT, LLC|535 MADISON AVENUE||NEW YORK NY 10022|USA|||  ||BRADFORD R. PECK|212-850-7515|Limited 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
Northeast 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
Northeast Regional Office| 130956|801-62916|WYOSEY CAPITAL, L.L.C.|WYOSEY CAPITAL, L.L.C.|21 EAST FRONT STREET|SUITE 210|RED BANK NJ 07701|USA|||  ||DAVID MICHAEL EPSTEIN|732-212-8844|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|03/12/2004|0|0|0|0|0|0
Northeast Regional Office| 130987|801-63015|ADIRONDACK RESEARCH & MANAGEMENT INC.|ADIRONDACK RESEARCH & MANAGEMENT INC.|26 VLY ROAD||ALBANY NY 12205|USA|||  ||GREGORY A. ROEDER|518 452-4394|Corporation|Portfolio management for investment companies|APPROVED|04/13/2004|0|0|0|0|0|0
Northeast Regional Office| 131018|801-62969|PROSPECT CAPITAL MANAGEMENT LLC|PROSPECT CAPITAL MANAGEMENT LLC|10 EAST 40TH STREET|SUITE 4400|NEW YORK NY 10016|USA|||  ||DARIA BECKER|212 448-0702 X.11|Limited Liability Company|Portfolio management for investment companies|APPROVED|03/31/2004|0|0|0|0|0|0
Northeast Regional Office| 131045|801-63308|KLEINER CAPITAL MANAGEMENT, LLC|KLEINER CAPITAL MANAGEMENT, LLC|PHILIP PLAZA|74 ROUTE 9 NORTH|MANALAPAN NJ 07726|USA|||  ||MITCHELL J. KLEINER|732-617-9001|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/01/2004|0|0|0|0|0|0
Northeast Regional Office| 131068|801-63360|MICHAEL SNOW D/B/A SNOW FINANCIAL MANAGEMENT|MICHAEL SNOW D/B/A SNOW FINANCIAL MANAGEMENT|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
Northeast Regional Office| 131071|801-63029|AM INVESTMENT PARTNERS LLC|AM INVESTMENT PARTNERS LLC|350 PARK AVENUE|4TH FLOOR|NEW YORK NY 10022-6022|USA|||  ||BRIAN FELDMAN|212-508-8900|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
Northeast Regional Office| 131124|801-63022|PRINCE STREET CAPITAL MANAGEMENT INC.|PRINCE STREET CAPITAL MANAGEMENT INC.|270 LAFAYETTE ST.|SUITE 1106|NEW YORK NY 10012|USA|||  ||PETER MCKOWN|212-931-8652|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/15/2004|0|0|0|0|0|0
Northeast Regional Office| 131169|801-63023|SUTTONBROOK CAPITAL MANAGEMENT LP|SUTTONBROOK CAPITAL MANAGEMENT LP|598 MADISON AVE.|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
Northeast Regional Office| 131243|801-63032|SAFRA ASSET MANAGEMENT CORPORATION|SAFRA ASSET MANAGEMENT CORPORATION|546 FIFTH AVENUE||NEW YORK CITY NY 10036|USA|||  ||EDWARD A. CLAPP|212.704.9361|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
Northeast 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
Northeast Regional Office| 131290|801-66281|MANALAPAN ORACLE ADVISERS LLC|MANALAPAN ORACLE ADVISERS LLC|1405 THIRD AVE|SUITE 7|SPRING LAKE NJ 07762-1450|USA|||  ||JOSEPH VIDICH|732-282-9496|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
Northeast 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
Northeast 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|0|0|0|0
Northeast Regional Office| 131340|801-63401|CRITERION RESEARCH GROUP, LLC|CRITERION RESEARCH GROUP, LLC|C/O NEIL BARON|6 HIDDEN OAK RD|ARMONK NY 10504|USA|||  ||NEIL BARON|914.273.8013|Limited Liability Company|Other|APPROVED|08/06/2004|0|0|0|0|0|0
Northeast Regional Office| 131352|801-63067|FISCHER & CO., LP|FISCHER & CO., LP|767 3RD AVENUE|39TH FLOOR|NEW YORK NY 10017|USA|||  ||ERIC SACKS|(212) 759-4400|Limited Liability Partnership|Other|APPROVED|05/10/2004|0|0|0|0|0|0
Northeast Regional Office| 131367|801-63123|XE CAPITAL ADVISERS, LLC|XE CAPITAL ADVISERS, LLC|24 W. 40 STREET, 3RD. FLOOR||NEW YORK NY 10018|USA|||  ||HERBERT O SONTZ|(646) 253-6424|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/29/2004|0|0|0|0|0|0
Northeast 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), Selection of other advisers|APPROVED|05/11/2004|0|0|2|0|0|0
Northeast 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, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/10/2004|0|0|0|0|0|0
Northeast Regional Office| 131430|801-65951|DIVERSIFIED HEDGE INVESTMENT ADVISORS LLC|DIVERSIFIED HEDGE INVESTMENT ADVISORS LLC|14 DUNNDER DRIVE||SUMMIT NJ 07901|USA|||  ||RICHARD H. VAN HORNE|(908) 416-8656|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
Northeast Regional Office| 131434|801-63094|CARRET CAPITAL LLC|CARRET CAPITAL 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|5|0|0|0|0
Northeast 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|5|0|0|0|0
Northeast Regional Office| 131460|801-63100|MEREDITH PORTFOLIO MANAGEMENT INC.|MEREDITH PORTFOLIO MANAGEMENT INC.|712 FIFTH AVE||NEW YORK NY 10019|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
Northeast Regional Office| 131463|801-63312|BLUE RIVER ASSET MANAGEMENT, LLC|BLUE RIVER ASSET MANAGEMENT, LLC|HARBORSIDE FINANCIAL CENTER PLAZA 5|SUITE 2320|JERSEY CITY NJ 07311|USA|||  ||WILLIAM FLEMING|201-309-9944|Limited Liability Company|Other|APPROVED|06/30/2004|1|0|0|0|0|0
Northeast 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
Northeast Regional Office| 131475|801-63311|BIGELOW ASSET MANAGEMENT INTERNATIONAL, LLC|BIGELOW ASSET MANAGEMENT INTERNATIONAL, LLC|HARBORSIDE FINANCIAL CENTER PLAZA 5|SUITE 2320|JERSEY CITY NJ 07311|USA|||  ||WILLIAM FLEMING|201-309-9944X1207|Limited Liability Company|Other|APPROVED|06/30/2004|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 131508|801-63678|OCEANFIRST BANK|OCEANFIRST BANK|975 HOOPER AVENUE||TOMS RIVER NJ 08754|USA|||  ||CHRISTINE TAMKE|732-240-4500|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/03/2004|0|0|0|0|0|0
Northeast Regional Office| 131511|801-63239|GSG ADVISORS LLC|GSG ADVISORS LLC|300 WEST ROUTE 38|SUITE 203|MOORESTOWN NJ 08057|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
Northeast Regional Office| 131520|801-63371|ASCENT CAPITAL MANAGEMENT, INC.|ASCENT CAPITAL MANAGEMENT, INC.|1160 FIFTH AVENUE|SUITE 205|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
Northeast Regional Office| 131526|801-63151|IQ INVESTMENT ADVISORS LLC|IQ INVESTMENT ADVISORS LLC|4 WORLD FINANCIAL CENTER|5TH FLOOR|NEW YORK NY 10080|USA|GLOBAL REGISTRATION & INSURANCE LICENSING|4804 DEER LAKE DRIVE E., 4TH FLOOR|JACKSONVILLE FL 32246|USA|GENE E. PORTER, JR.|904-218-7922|Limited Liability Company|Portfolio management for investment companies|APPROVED|06/15/2004|0|4|1|0|0|0
Northeast Regional Office| 131534|801-66006|NPA ASSET MANAGEMENT, LLC|NPA ASSET MANAGEMENT, LLC|1 PARAGON DRIVE|SUITE 100|MONTVALE NJ 07645|USA|||  ||DAVID M. KONITS|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|APPROVED|02/23/2006|0|0|0|0|0|0
Northeast 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
Northeast 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
Northeast Regional Office| 131572|801-63303|T2 PARTNERS MANAGEMENT LP|T2 PARTNERS MANAGEMENT LP|145 E. 57TH ST.|SUITE 1100|NEW YORK NY 10022|USA|||  ||WHITNEY RICHARD TILSON|212-386-7160|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/08/2004|0|0|0|0|0|0
Northeast Regional Office| 131616|801-65768|EVERCORE ADVISORS INC.|EVERCORE ADVISORS INC.|55 EAST 52ND STREET||NEW YORK NY 10055|USA|||  ||DAVID E. WEZDENKO|(212) 857-3100|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/26/2006|0|0|0|0|0|0
Northeast Regional Office| 131622|801-65766|EVERCORE VENTURE ADVISORS L.L.C.|EVERCORE VENTURE ADVISORS L.L.C.|55 EAST 52ND STREET||NEW YORK NY 10055|USA|||  ||DAVID E. WEZDENKO|212-857-3100|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/26/2006|0|0|0|0|0|0
Northeast 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
Northeast 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
Northeast 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|||  ||PAUL J. JACOBELLO|(212) 801-2303|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/28/2004|0|0|0|0|0|0
Northeast Regional Office| 131739|801-65557|PARAMOUNT BIO CAPITAL ASSET MANAGEMENT, INC.|PARAMOUNT BIO CAPITAL ASSET MANAGEMENT, INC.|787 SEVENTH AVENUE|48TH FLOOR|NEW YORK NY 10019|USA|||  ||STEPHEN ROCAMBOLI|212-554-4345|Corporation|Other|APPROVED|01/18/2006|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 131813|801-64080|PRECEPT ASSET MANAGEMENT, LLC|PRECEPT ASSET MANAGEMENT, LLC|401 SPRINGFIELD AVENUE||SUMMIT NJ 07901-2603|USA|||  ||DAVID SUKOFF|908-608-0181|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/24/2005|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 131845|801-63257|HAYGROUND COVE ASSOCIATES LP|HAYGROUND COVE ASSOCIATES LP|1370 AVENUE OF THE AMERICAS|20TH 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
Northeast 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)|APPROVED|09/10/2004|0|0|0|0|0|0
Northeast 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
Northeast 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
Northeast Regional Office| 131924|801-65677|LW ASSET MANAGEMENT LLC|LW ASSET MANAGEMENT LLC|551 FIFTH AVENUE, SUITE 1923||NEW YORK NY 10176|USA|||  ||AMERICO DA CORTE|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
Northeast 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 businesses or institutional clients (other than investment companies)|APPROVED|07/02/2004|0|0|0|0|0|0
Northeast 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|||  ||FRED BERGER|(212) 692-2040|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/26/1989|0|0|0|0|0|0
Northeast 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
Northeast 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
Northeast 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
Northeast Regional Office| 132081|801-63432|BOYAR FINANCIAL PUBLISHING LLC|BOYAR FINANCIAL PUBLISHING LLC|35 EAST 21ST STREET|8TH FLOOR|NEW YORK NY 10010-6212|USA|||  ||MARK A.  BOYAR|212-995-8300|Limited Liability Company|Other|APPROVED|08/12/2004|0|0|0|0|0|0
Northeast Regional Office| 132136|801-63553|CURRAN INVESTMENT MANAGEMENT|CIM, LLC|30 S. PEARL STREET, 9TH FLOOR||ALBANY NY 12207|USA|||  ||DEBORAH ROJAS|518-391-4270|Limited 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|10/13/2004|0|1|0|0|0|0
Northeast 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
Northeast Regional Office| 132166|801-64016|WOLF ASSET MANAGEMENT INTERNATIONAL LLC|WOLF ASSET MANAGEMENT INTERNATIONAL LLC|375 PARK AVENUE|SUITE 1205|NEW YORK NY 10152|USA|C/O WOLF INTERNATIONAL ADVISORS|425 SANDOVAL STREET|SANTA FE NM 87501|USA|PAUL JOHNSON|505-955-9950|Limited Liability Company|Other|APPROVED|03/03/2005|0|0|0|0|0|0
Northeast 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
Northeast 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|||  ||PETER M. BROWN|(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
Northeast 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
Northeast Regional Office| 132330|801-63357|MASSEY, QUICK & CO. LLC|MASSEY, QUICK & CO. LLC|360 MT. KEMBLE AVE||MORRISTOWN NJ 07960|USA|||  ||MICHAEL SCULLY|973-525-1000|Limited Liability Company|Financial planning services, Selection of other advisers|APPROVED|07/16/2004|0|1|0|0|0|0
Northeast Regional Office| 132367|801-63563|DYNAMIC CREDIT PARTNERS LLC|DYNAMIC CREDIT PARTNERS LLC|667 MADISON AVENUE|5TH FLOOR|NEW YORK NY 10021|USA|||  ||ASHLEY MONTGOMERY|212-319-7027|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/08/2004|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 132379|801-63435|RYAN ALM, INC.|RYAN ALM, INC.|245 PARK AVENUE|39TH FLOOR|NEW YORK NY 10167|USA|||  ||RONALD RYAN|646-254-7033|Limited Liability Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Publication of periodicals or newsletters|APPROVED|08/23/2004|0|0|0|0|0|0
Northeast Regional Office| 132432|801-63452|SARANAC CAPITAL|SARANAC CAPITAL MANAGEMENT LP|31W 52ND STREET|16TH FLOOR|NEW YORK NY 10019|USA|||  ||CAROL EPSTEIN|212-301-6490|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|09/10/2004|0|0|0|0|0|0
Northeast Regional Office| 132442|801-64624|XTF ADVISORS LLC|XTF ADVISORS LLC|2 RECTOR STREET, 3RD FLOOR||NEW YORK NY 10006|USA|||  ||BENJAMIN GRAY|212-659-3814|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/26/2005|0|2|0|0|0|0
Northeast Regional Office| 132460|801-63457|OTA ADVISORS LLC|OTA ADVISORS LLC|1 MANHATTANVILLE ROAD||PURCHASE NY 10577|USA|||  ||JOHN HANRATTY|914-460-4099|Limited Liability Company|Other|APPROVED|09/09/2004|0|0|0|0|0|0
Northeast 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), Selection of other advisers, Other|APPROVED|10/03/2005|0|0|0|0|0|0
Northeast 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
Northeast 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
Northeast Regional Office| 132512|801-63490|OTA MULTI-STRATEGY ADVISORS LLC|OTA MULTI-STRATEGY ADVISORS LLC|1 MANHATTANVILLE ROAD||PURCHASE NY 10577|USA|||  ||JOHN HANRATTY|914.460.4099|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/23/2004|0|1|0|0|0|0
Northeast Regional Office| 132537|801-65630|ACCUMULUS CAPITAL MANAGEMENT, LLC|ACCUMULUS CAPITAL MANAGEMENT, LLC|110 EAST 59TH STREET|SUITE 3301|NEW YORK NY 10022|USA|||  ||BENJAMIN SCHLIEMANN|212-490-7570|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
Northeast Regional Office| 132694|801-63492|TIMESSQUARE CAPITAL MANAGEMENT, LLC|TIMESSQUARE CAPITAL MANAGEMENT, LLC|4 TIMES SQUARE|25TH 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
Northeast Regional Office| 132753|801-63692|AEA INVESTORS SBF LLC|AEA INVESTORS SBF LLC|C/O AEA INVESTORS LLC|65 EAST 55TH STREET - 27TH FLOOR|NEW YORK NY 10022|U.S.A.|||  ||CHRISTINE J. SMITH|212-702-0513|Limited Liability Company|Other|APPROVED|11/22/2004|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 132774|801-63524|TRIBECA GLOBAL MANAGEMENT LLC|TRIBECA GLOBAL MANAGEMENT LLC|399 PARK AVENUE||NEW YORK NY 10043-0001|USA|||  ||ANDREW E. FELDMAN|212-559-8170|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/30/2004|0|0|0|0|0|0
Northeast Regional Office| 132793|801-65634|COLDEN CAPITAL ADVISERS LLC|COLDEN CAPITAL ADVISERS LLC|C/O COLDEN CAPITAL MANAGEMENT LLC|230 PARK AVENUE, 7TH FLOOR|NEW YORK NY 10169|UNITED STATES|||  ||KEVIN MCLAUGHLIN|212-499-2550|Limited Liability Company|Other|APPROVED|01/27/2006|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 132823|801-63731|CAXTON ASSOCIATES, LLC|CAXTON ASSOCIATES, LLC|731 ALEXANDER ROAD|BUILDING 2|PRINCETON NJ 08540|USA|||  ||SCOTT B. BERNSTEIN|(212) 593-7700|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
Northeast Regional Office| 132832|801-64636|AKROS CAPITAL, LLC|AKROS CAPITAL, LLC|230 PARK AVENUE, 7TH FLOOR||NEW YORK NY 10169|USA|||  ||STEVEN G. RUNG|212-499-2591|Limited Liability Company|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|08/16/2005|0|0|0|0|0|0
Northeast Regional Office| 132862|801-63614|CLEARWATER CAPITAL MANAGEMENT I, LLC|CLEARWATER CAPITAL MANAGEMENT I, LLC|10 FAIRMOUNT AVENUE||CHATHAM NJ 07928|USA|||  ||DAVID W. MICHELL|973-701-2525|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/01/2004|0|0|0|0|0|0
Northeast Regional Office| 132920|801-63622|TREESDALE PARTNERS, LLC|TREESDALE PARTNERS, LLC|1325 AVENUE OF THE AMERICAS|SUITE 2302|NEW YORK NY 10019|USA|||  ||PETER M. ORTIZ|212-246-4234|Limited Liability Company|Other|APPROVED|01/03/2005|0|0|0|0|0|0
Northeast Regional Office| 132946|801-63608|STONEBROOK STRUCTURED PRODUCTS, LLC|STONEBROOK STRUCTURED PRODUCTS, LLC|17 STATE STREET, 7TH FLOOR||NEW YORK NY 10004|USA|||  ||JEROME ABERNATHY|212-952-0500|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/27/2004|0|0|0|0|0|0
Northeast Regional Office| 132969|801-64405|FORTE ASSET MANAGEMENT, LLC|FORTE ASSET MANAGEMENT, LLC|40 WALL STREET #31B||NEW YORK NY 10005|USA|||  ||CHRISTOPHER TEAS|212-509-2642|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|07/19/2005|0|0|0|0|0|0
Northeast Regional Office| 132980|801-63686|GOTHAM PARTNERS MANAGEMENT CO., LLC|GOTHAM PARTNERS MANAGEMENT CO., LLC|110 EAST 42ND STREET|18TH FLOOR|NEW YORK NY 10017|USA|||  ||MARCELLA BUTLER|212-883-6402|Limited Liability Company|Other|APPROVED|12/14/2004|0|0|0|0|0|0
Northeast Regional Office| 132981|801-63687|MANTPRO, LLC|MANTPRO, LLC|110 EAST 42ND STREET, 18TH FLOOR||NEW YORK NY 10017|USA|||  ||MARCELLA BUTLER|212-883-6402|Limited Liability Company|Other|APPROVED|11/22/2004|0|0|0|0|0|0
Northeast Regional Office| 132982|801-63688|PERSHING SQUARE CAPITAL MANAGEMENT, L.P.|PERSHING SQUARE CAPITAL MANAGEMENT, L.P.|110 EAST 42ND STREET|18TH FLOOR|NEW YORK NY 10017|USA|||  ||MARCELLA BUTLER|212-883-6402|Other (specify)|Other|APPROVED|12/02/2004|0|0|0|0|0|0
Northeast Regional Office| 132983|801-63690|GOTHAM INTERNATIONAL ADVISORS, L.L.C.|GOTHAM INTERNATIONAL ADVISORS, L.L.C.|110 EAST 42ND STREET, 18TH FLOOR||NEW YORK NY 10017|USA|||  ||MARCELLA BUTLER|212-883-6402|Limited Liability Company|Other|APPROVED|12/14/2004|0|0|0|0|0|0
Northeast Regional Office| 132984|801-63689|PERSHING SQUARE GP, LLC|PERSHING SQUARE GP, LLC|110 EAST 42ND STREET, 18TH FLOOR||NEW YORK NY 10017|USA|||  ||MARCELLA BUTLER|212-883-6402|Limited Liability Company|Other|APPROVED|12/02/2004|0|0|0|0|0|0
Northeast Regional Office| 132988|801-63704|GCP I, LLC|GCP I, LLC|110 EAST 42ND STREET, 18TH FLOOR||NEW YORK NY 10017|USA|||  ||MARCELLA BUTLER|212-883-6402|Limited Liability Company|Other|APPROVED|01/03/2005|0|0|0|0|0|0
Northeast Regional Office| 132994|801-63695|SECTION H PARTNERS, L.P.|SECTION H PARTNERS, L.P.|110 EAST 42ND STREET, 18TH FLOOR||NEW YORK NY 10017|USA|||  ||MARCELLA BUTLER|212-883-6402|Other (specify)|Other|APPROVED|01/03/2005|0|0|0|0|0|0
Northeast Regional Office| 133037|801-63743|PERGAMON ADVISORS, LLC|PERGAMON ADVISORS, LLC|590 MADISON AVENUE|30TH FLOOR|NEW YORK NY 10022|USA|||  ||CHAD W. COULTER|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
Northeast 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|||  ||CHAD W. COULTER|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
Northeast Regional Office| 133042|801-63650|ILLINGTON FUND MANAGEMENT LLC|ILLINGTON FUND MANAGEMENT LLC|427 BEDFORD ROAD||PLEASANTVILLE NY 10570|USA|||  ||GEORGE FISHER|914-773-7888|Limited Liability Company|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
Northeast 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
Northeast Regional Office| 133052|801-64874|WINDCREST DISCOVERY INVESTMENTS LLC|WINDCREST DISCOVERY INVESTMENTS LLC|122 EAST 42ND STREET, 47TH FLOOR||NEW YORK NY 10168|USA|||  ||SCOTT FORREST|212-599-4300|Limited Liability Company|Other|APPROVED|12/01/2005|0|1|0|0|0|0
Northeast 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|||  ||CHAD W. COULTER|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
Northeast Regional Office| 133153|801-65922|NEW YORK CAPITAL ADVISORS, LLC|NEW YORK CAPITAL ADVISORS, LLC|80 ORVILLE DRIVE||BOHEMIA NY 11716|USA|||  ||MICHAEL L. BERTASH|631-692-2631|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/2006|0|0|0|0|0|0
Northeast Regional Office| 133167|801-63796|SV CAPITAL MANAGEMENT COMPANY|SV CAPITAL MANAGEMENT COMPANY|1140 AVENUE OF THE AMERICAS|SUITE 707|NEW YORK NY 10036-5803|USA|||  ||SHELDON VOGEL|212-768-0311|Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/14/2005|0|0|0|0|0|0
Northeast Regional Office| 133232|801-63953|AMERICAN INDEPENDENCE FINANCIAL SERVICE, LLC|AMERICAN INDEPENDENCE FINANCIAL SERVICE, 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
Northeast Regional Office| 133237|801-63677|MAGNA HIGHLIGHT CAPITAL MANAGEMENT LLC|MAGNA HIGHLIGHT CAPITAL MANAGEMENT LLC|420 LEXINGTON AVE|SUITE 2225|NEW YORK NY 10170|USA|||  ||ERIC STUART SEGALL|212-547-6306|Limited Liability Company|Other|APPROVED-120|12/02/2004|0|2|0|0|0|0
Northeast 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
Northeast Regional Office| 133251|801-64778|SAM ADVISORS, LLC|SAM ADVISORS, LLC|111 BROADWAY|SUITE 805|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
Northeast Regional Office| 133283|801-63680|VARDON CAPITAL MANAGEMENT, L.L.C.|VARDON CAPITAL MANAGEMENT, L.L.C.|120 WEST 45TH STREET|17TH FLOOR|NEW YORK NY 10036|U.S.A.|||  ||RICHARD W. SHEA, JR.|212-626-6300|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|11/19/2004|0|0|0|0|0|0
Northeast 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
Northeast 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
Northeast 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)|APPROVED|11/17/2004|0|0|0|0|0|0
Northeast 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|||  ||CHRISTOPHER L. O'DELL|212-761-4464|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/03/2005|0|0|1|0|0|0
Northeast Regional Office| 133386|801-65382|XI ASSET MANAGEMENT, LLC|XI ASSET MANAGEMENT, LLC|527 MADISON AVENUE|6TH FLOOR|NEW YORK NY 10022|USA|||  ||MARK J. VARACCHI|(646) 840-5445|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
Northeast 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), Other|APPROVED|01/03/2005|0|0|0|0|0|0
Northeast Regional Office| 133405|801-63691|C-BASS INVESTMENT MANAGEMENT LLC|C-BASS INVESTMENT MANAGEMENT LLC|335 MADISON AVENUE||NEW YORK NY 10017|USA|||  ||SCOTT HENDRY|212-850-5024|Limited Liability Company|Other|APPROVED|12/03/2004|0|0|1|0|0|0
Northeast 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
Northeast Regional Office| 133459|801-63865|TG CAPITAL MANAGEMENT LLC|TG CAPITAL MANAGEMENT LLC|145 WEST 67TH STREET||NEW YORK NY 10023|USA|||  ||THOMAS GARDNER|917-902-1539|Limited Liability Company|Other|APPROVED|02/17/2005|0|0|0|0|0|0
Northeast Regional Office| 133518|801-63912|ARCHERY CAPITAL|ARCHERY CAPITAL LLC|570 LEXINGTON AVENUE|39TH FLOOR|NEW YORK CITY NY 10022|USA|||  ||JOYCE|212.380.4189|Limited Liability Company|Other|APPROVED|02/09/2005|0|0|2|0|0|0
Northeast Regional Office| 133594|801-63740|PCM ADVISORS LLC|PCM ADVISORS LLC|NINE ELK STREET||ALBANY NY 12207|USA|||  ||DAVID J. DELUCA|518-431-3500|Limited Liability Company|Portfolio management for investment companies|APPROVED|12/16/2004|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 133738|801-65262|INDUS CAPITAL PARTNERS, LLC|INDUS CAPITAL PARTNERS, LLC|152 WEST 57TH STREET|28TH FLOOR|NEW YORK NY 10019|USA|||  ||BRIAN GUZMAN|(212) 909-2864|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/09/2006|0|0|0|0|0|0
Northeast 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
Northeast 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|212-421-6800|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/04/2005|0|0|0|0|0|0
Northeast Regional Office| 133865|801-65783|LONGSHIP CAPITAL MANAGEMENT, LLC|LONGSHIP CAPITAL MANAGEMENT, LLC|654 MADISON AVENUE|SUITE 1009|NEW YORK NY 10021|USA|||  ||WILLIAM M. WADDEN IV|212-601-2414|Limited Liability Company|Selection of other advisers, Other|APPROVED|01/30/2006|0|1|0|0|0|0
Northeast 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|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/10/2005|0|0|0|0|0|0
Northeast Regional Office| 133902|801-64065|KOM CAPITAL MANAGEMENT, LLC|KOM CAPITAL MANAGEMENT, LLC|200 PARK AVENUE, SUITE 3900||NEW YORK NY 10166|USA|||  ||PATRICK G. O'NEILL|212-808-7474|Limited Liability Company|Other|APPROVED|05/02/2005|0|0|0|0|0|0
Northeast Regional Office| 133936|801-63968|WEISER CAPITAL MANAGEMENT, LLC|WEISER CAPITAL MANAGEMENT, LLC|135 WEST 50TH STREET||NEW YORK NY 10020|USA|||  ||JORDAN BERLIN|212-812-7000|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|APPROVED|03/03/2005|0|1|0|0|0|0
Northeast Regional Office| 133945|801-64384|JPMORGAN SOLUTIONS LLC|JPMORGAN SOLUTIONS LLC|277 PARK AVENUE, 9TH FLOOR||NEW YORK NY 10172-0003|USA|||  ||CHRISTINA D. SFAKIANOS|212-622-5252|Limited Liability Company|Portfolio management for investment companies, Selection of other advisers, Other|APPROVED|07/06/2005|0|0|3|0|0|0
Northeast Regional Office| 134009|801-63980|BLACKSTONE MEZZANINE ADVISORS II L.P.|BLACKSTONE MEZZANINE ADVISORS II 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|02/23/2005|0|0|0|0|0|0
Northeast Regional Office| 134011|801-64162|CHURCH TAVERN ADVISORS|CHURCH TAVERN ADVISORS, LLC|500 MAMARONECK AVE|SUITE 320|HARRISON NY 10528|USA|||  ||WILLIAM MCCORMICK|(914) 698-7453|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/14/2005|0|0|0|0|0|0
Northeast Regional Office| 134013|801-64038|BLACKSTONE DISTRESSED DEBT ADVISORS L.P.|BLACKSTONE DISTRESSED 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|03/11/2005|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 134039|801-64144|MARWOOD ALTERNATIVE ASSET MANAGEMENT|MARWOOD ALTERNATIVE ASSET MANAGEMENT LLC|232 MADISON AVENUE|SUITE 906|NEW YORK NY 10016|USA|||  ||JOHN MOORE|212-532-3651|Limited Liability Company|Selection of other advisers|APPROVED|04/21/2005|0|0|0|0|0|0
Northeast Regional Office| 134062|801-64033|GELLER FAMILY OFFICE SERVICES LLC|GELLER FAMILY OFFICE SERVICES LLC|800 THIRD AVENUE, 19TH FLOOR||NEW YORK NY 10022|USA|||  ||JON 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
Northeast Regional Office| 134068|801-63943|CEDAR HILL CAPITAL PARTNERS, LLC|CEDAR HILL CAPITAL PARTNERS, LLC|747 THIRD AVENUE|33RD FLOOR|NEW YORK NY 10017|USA|||  ||EMIL WOODS|212-821-1491|Limited Liability Company|Other|APPROVED|02/18/2005|0|0|0|0|0|0
Northeast Regional Office| 134075|801-63957|THE VENTUR GROUP, LLC|THE VENTUR GROUP, LLC|5550 MERRICK ROAD|#305|MASSAPEQUA NY 11758|USA|||  ||VINCENT J. CAMARDA|516-795-2100|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|01/21/2005|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 134195|801-64101|STONEWATER CAPITAL ASIA ADVISORS LLC|STONEWATER CAPITAL ASIA ADVISORS LLC|277 PARK AVENUE|49TH FLOOR|NEW YORK NY 10172|USA|||  ||JUDY HALABY|212-207-5540|Limited Liability Company|Other|APPROVED|04/15/2005|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 134261|801-63947|RSW INVESTMENTS, LLC|RSW INVESTMENTS, LLC|86 SUMMIT AVENUE||SUMMIT NJ 07901|USA|||  ||ROBERT WAAS|908-273-4311|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/18/2005|0|0|0|0|0|0
Northeast Regional Office| 134341|801-64046|VENTURE CAPITAL FUND OF AMERICA III, INC|VENTURE CAPITAL FUND OF AMERICA III, INC|509 MADISON AVENUE|SUITE 812|NEW YORK NY 10022|USA|||  ||STEVEN TAUBMAN|415-296-0555|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/11/2005|0|0|0|0|0|0
Northeast Regional Office| 134362|801-64068|BLUMBERG CAPITAL MANAGEMENT, LLC|BLUMBERG CAPITAL MANAGEMENT, LLC|153 EAST 53RD STREET|48TH FLOOR|NEW YORK NY 10022|USA|||  ||LAURENCE BLUMBERG|212-521-5186|Limited Liability Company|Other|APPROVED|04/11/2005|0|0|0|0|0|0
Northeast Regional Office| 134366|801-63987|MORGAN STANLEY PRIVATE EQUITY ASIA, INC.|MORGAN STANLEY PRIVATE EQUITY ASIA, INC.|1585 BROADWAY|38TH FLOOR|NEW YORK NY 10036|USA|||  ||PETER R. VOGELSANG|212-761-5151|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/24/2005|0|0|1|0|0|0
Northeast Regional Office| 134390|801-65411|VALUE ARCHITECTS ASSET MANAGEMENT LLC|VALUE ARCHITECTS ASSET MANAGEMENT LLC|18 BANK STREET|SUITE 206|SUMMIT NJ 07901|USA|18 BANK STREET|SUITE 206|SUMMIT NJ 07901|USA|RICHARD H KONRAD|908-273-9354|Limited Liability Company|Financial planning services, 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
Northeast Regional Office| 134392|801-64039|GRESHAM INVESTMENT MANAGEMENT LLC|GRESHAM INVESTMENT MANAGEMENT LLC|67 IRVING PLACE, 12TH FL.||NEW YORK NY 10003|USA|||  ||BOJAN MILJKOVIC|212 984-1423|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
Northeast 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|||  ||THOMAS Y. CATLETT|212-644-4171|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|03/03/2005|0|0|0|0|0|0
Northeast 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
Northeast 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
Northeast 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
Northeast 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 businesses or institutional clients (other than investment companies)|APPROVED|06/07/2005|0|0|0|0|0|0
Northeast Regional Office| 134626|801-64054|GENESIS INVESTMENT ADVISORS, LLC|GENESIS INVESTMENT ADVISORS, LLC|275 MADISON AVENUE|SUITE 2301|NEW YORK NY 10016|USA|||  ||JOSE F. JARAMILLO|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
Northeast 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)|Other|APPROVED|06/08/2005|0|0|0|0|0|0
Northeast Regional Office| 134680|801-64381|IRON HORSE CAPITAL MANAGEMENT L.P.|IRON HORSE CAPITAL MANAGEMENT L.P.|535 MADISON AVENUE|35TH FLOOR|NEW YORK NY 10022|USA|||  ||ELIZABETH KOSTOLANSKY|212-396-5970|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/10/2005|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 134776|801-64368|HIGHBRIDGE CAPITAL MANAGEMENT, LLC|HIGHBRIDGE CAPITAL MANAGEMENT, LLC|9 WEST 57TH STREET|27TH FLOOR|NEW YORK NY 10019|USA|||  ||CAROLYN RUBIN|(212) 287-4900|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/06/2005|0|0|3|0|0|0
Northeast Regional Office| 134777|801-64286|WALDEN PARTNERS LTD.|WALDEN PARTNERS LTD.|708 THIRD AVENUE||NEW YORK NY 10017-4201|USA|||  ||MARTIN BOORSTEIN|212 755 8686 X217|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/06/2005|0|0|0|0|0|0
Northeast Regional Office| 134789|801-66061|FORCE CAPITAL MANAGEMENT LLC|FORCE CAPITAL MANAGEMENT LLC|152 WEST 57TH STREET|45TH FLOOR|NEW YORK NY 10019|USA|||  ||STEVEN FUCHS|212-373-0828|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/20/2006|0|0|0|0|0|0
Northeast Regional Office| 134796|801-64948|OBERON PARTNERS LLC|OBERON PARTNERS LLC|1155 AVENUE OF THE AMERICAS||NEW YORK CITY NY 10036|USA|||  ||HAROLD SNEDCOF|212 819 8931|Limited Liability Company|Pension consulting services, Selection of other advisers|APPROVED|02/10/2006|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 134835|801-64086|SORIN CAPITAL MANAGEMENT, LLC|SORIN CAPITAL MANAGEMENT, LLC|780 THIRD AVENUE, 31ST FLOOR||NEW YORK NY 10017|USA|||  ||THOMAS TAM|212-300-0300|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/08/2005|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 134855|801-64227|TERRAPIN ASSET MANAGEMENT, LLC|TERRAPIN ASSET MANAGEMENT, LLC|620 FIFTH AVENUE||NEW YORK NY 10020|USA|||  ||VINCENT M. SARULLO|212-332-3569|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/06/2005|0|0|0|0|0|0
Northeast Regional Office| 134867|801-64088|WESTBROOK ASSET MANAGEMENT, LLC|WESTBROOK ASSET MANAGEMENT, LLC|1055 FRANKLIN AVENUE||GARDEN CITY NY 11530|USA|||  ||TERENCE P. CARMICHAEL|516-983-6128|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
Northeast Regional Office| 134912|801-65740|CADMUS CAPITAL MANAGEMENT, LLC|CADMUS CAPITAL MANAGEMENT, LLC|150 E. 52ND STREET, 27TH FLOOR||NEW YORK NY 10022|USA|||  ||LAURA ROCHE|212-829-1630|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2006|0|0|0|0|0|0
Northeast Regional Office| 134938|801-65066|VEGA INSTITUTIONAL ADVISORS LP|VEGA INSTITUTIONAL ADVISORS LP|375 PARK AVENUE, 29TH FLOOR||NEW YORK NY 10152|USA|||  ||ANDREW E. FELDMAN|646-367-2822|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/05/2006|0|0|0|0|0|0
Northeast Regional Office| 135001|801-64234|ALCHEMY MANAGEMENT LLC|ALCHEMY MANAGEMENT LLC|111 GREAT NECK ROAD|SUITE 200|GREAT NECK NY 11021|USA|||  ||ALAN SCHLESINGER|516-684-4800|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|04/28/2005|0|0|0|0|0|0
Northeast Regional Office| 135051|801-64260|BLACKROCK  KELSO CAPITAL ADVISORS LLC|BLACKROCK  KELSO CAPITAL ADVISORS LLC|40 EAST 52ND STREET||NEW YORK NY 10022|USA|||  ||MICHAEL B. LAZAR|212.751.3939|Limited Liability Company|Other|APPROVED|05/19/2005|0|2|0|0|0|0
Northeast Regional Office| 135077|801-64337|BASEL ASSET MANAGEMENT, LLC|BASEL ASSET MANAGEMENT, LLC|ONE ROCKEFELLER PLAZA|15 W. 48TH STREET|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
Northeast 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
Northeast 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
Northeast Regional Office| 135107|801-64221|UPSTATE FINANCIAL SERVICES|UPSTATE ADVISORS GROUP|101 NEWBURY HOLLOW LANE||SYRACUSE NY 13210|USA|||  ||DEBORAH A. THIBERT|315-476-9989|Limited Liability Partnership|Financial planning services, Selection of other advisers|APPROVED-120|05/06/2005|0|0|0|0|0|0
Northeast 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
Northeast 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
Northeast Regional Office| 135140|801-64188|LOCUST WOOD CAPITAL ADVISERS, LLC|LOCUST WOOD CAPITAL ADVISERS, LLC|1140 AVENUE OF AMERICAS|SUITE 707|NEW YORK NY 10036|USA|||  ||PAUL|212-354-0193|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/20/2005|0|0|0|0|0|0
Northeast Regional Office| 135176|801-64220|COPPER BEECH CAPITAL MANAGEMENT INC.|COPPER BEECH CAPITAL MANAGEMENT INC.|540 MADISON AVENUE, 33RD FLOOR||NEW YORK NY 10022|USA|||  ||ANTHONY J. BUFFALANO III|212-381-1763|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/29/2005|0|0|0|0|0|0
Northeast Regional Office| 135225|801-64288|REXFORD OFFSHORE, L.L.C.|REXFORD OFFSHORE, L.L.C.|220 FIFTH AVE|14TH FLOOR|NEW YORK NY 10001|USA|||  ||STUART ROSENBERG|(212) 483-1500 EXT. 228|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/27/2005|0|0|0|0|0|0
Northeast 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|||  ||STEVEN JAY SEIDEMANN|212-478-0000|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/26/2005|0|0|0|0|0|0
Northeast Regional Office| 135334|801-64301|HSBC HALBIS PARTNERS (USA) INC.|HSBC HALBIS PARTNERS (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
Northeast Regional Office| 135346|801-65026|DORSET MANAGEMENT CORPORATION|DORSET MANAGEMENT CORPORATION|485 UNDERHILL BOULEVARD|SUITE 205|SYOSSET NY 11791-3419|USA|||  ||DAVID JEUDA|516-364-0303|Corporation|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
Northeast Regional Office| 135353|801-66017|SLS MANAGEMENT, LLC|SLS MANAGEMENT, LLC|140 WEST 57TH STREET|SUITE 7A|NEW YORK NY 10019|USA|||  ||STEVEN ROHLFING|212-537-3605|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
Northeast 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
Northeast Regional Office| 135409|801-65246|VEGAPLUS CAPITAL PARTNERS (USA) LLC|VEGAPLUS CAPITAL PARTNERS (USA) LLC|375 PARK AVENUE, 29TH FLOOR||NEW YORK NY 10152|USA|||  ||ANDREW E. FELDMAN|646-367-2822|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
Northeast 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
Northeast 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
Northeast Regional Office| 135431|801-65641|LINDEN ADVISORS LP|LINDEN ADVISORS LP|450 PARK AVENUE, SUITE 3001||NEW YORK NY 10022|USA|||  ||CRAIG JARVIS|646-840-3510|Partnership|Other|APPROVED|01/26/2006|0|0|0|0|0|0
Northeast 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
Northeast 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
Northeast Regional Office| 135546|801-65212|CALYPSO CAPITAL MANAGEMENT, LP|CALYPSO CAPITAL MANAGEMENT, LP|135 EAST 57TH STREET|2OTH FLOOR|NEW YORK NY 10022|USA|||  ||ANDREW FLINN|(212) 829-4013|Other (specify)|Other|APPROVED|01/20/2006|0|0|0|0|0|0
Northeast Regional Office| 135564|801-64302|RCG HELM, L.L.C.|RCG HELM, L.L.C.|666 THIRD AVENUE, 26TH FLOOR||NEW YORK NY 10017|USA|||  ||MARRAN H. OGILVIE|212-845-7909|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/06/2005|0|0|0|0|0|0
Northeast Regional Office| 135584|801-64325|URSUS SERVICES, L.L.C.|URSUS SERVICES, L.L.C.|1370 AVENUE OF THE AMERICAS|27TH FLOOR|NEW YORK NY 10019|USA|||  ||STEPHANIE GUILPIN|212-541-9224|Limited Liability Company|Other|APPROVED|06/03/2005|0|0|0|0|0|0
Northeast Regional Office| 135601|801-64305|WINTERGREEN ADVISERS, LLC|WINTERGREEN ADVISERS, LLC|333 ROUTE 46 WEST||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
Northeast Regional Office| 135603|801-64456|SYMPHONIC FINANCIAL ADVISORS LLC|SYMPHONIC FINANCIAL ADVISORS LLC|570 LEXINGTON AVENUE|9TH FLOOR|NEW YORK NY 10022|USA|||  ||KURT HAWKESWORTH|212-702-3551|Limited 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
Northeast Regional Office| 135614|801-64315|STONEBROOK FUND MANAGEMENT LLC|STONEBROOK FUND MANAGEMENT LLC|450 PARK AVENUE|22ND FLOOR|NEW YORK NY 10022|USA|||  ||MARC ABEL, CPA, MST|212-702-4813|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/27/2005|0|0|0|0|0|0
Northeast Regional Office| 135640|801-65042|TRYPHON CAPITAL ADVISERS, INC.|TRYPHON CAPITAL ADVISERS, INC.|129 CHESTER AVENUE|2ND FLOOR|MOORESTOWN NJ 08057|USA|||  ||JANIE TRIPOLITIS|856-231-1500|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/04/2006|0|0|0|0|0|0
Northeast Regional Office| 135649|801-65216|GREGOIRE CAPITAL, LLC|GREGOIRE CAPITAL, LLC|33 BLEEKER STREET|SUITE 204|MILLBURN NJ 07041|USA|||  ||CINDY M. PITONZO|973-376-0707|Limited Liability Company|Other|APPROVED|01/18/2006|0|0|0|0|0|0
Northeast 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.|212-432-4600|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
Northeast Regional Office| 135658|801-64367|STURZA'S INSTITUTIONAL RESEARCH, INC.|STURZA'S INSTITUTIONAL RESEARCH, INC.|1370 AVENUE OF THE AMERICAS|27TH FLOOR|NEW YORK NY 10019|USA|||  ||STEPHANIE GUILPIN|212-541-8200|Corporation|Publication of periodicals or newsletters|APPROVED|06/17/2005|0|0|0|0|0|0
Northeast 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
Northeast 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
Northeast Regional Office| 135760|801-64706|SANSAR CAPITAL MANAGEMENT, L.L.C.|SANSAR CAPITAL MANAGEMENT, L.L.C.|25 WEST 53RD STREET|14TH FLOOR|NEW YORK NY 10019|USA|||  ||STEVEN ANTHONY BEHAR|212 809-2550|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/13/2005|0|0|0|0|0|0
Northeast Regional Office| 135781|801-64714|RYAN ALM ADVISERS, LLC|RYAN ALM ADVISERS, LLC|245 PARK AVENUE|39TH FLOOR|NEW YORK NY 10167|USA|||  ||DANIEL KRIEGER|212-672-1824|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|09/15/2005|0|0|0|0|0|0
Northeast Regional Office| 135782|801-65551|OSPRAIE MANAGEMENT, LLC|OSPRAIE MANAGEMENT, LLC|320 PARK AVENUE, 27TH FLOOR||NEW YORK NY 10022|USA|||  ||KIRK D. RULE|212-602-5000|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/25/2006|0|0|0|0|0|0
Northeast Regional Office| 135805|801-65606|TITAN ADVISORS, LLC|TITAN ADVISORS, LLC|3 INTERNATIONAL DRIVE|SUITE 120|RYE BROOK NY 10573|USA|||  ||NICHOLAS CLAUDE COLABELLA|914-935-1167|Limited Liability Company|Other|APPROVED|01/26/2006|0|0|0|0|0|0
Northeast Regional Office| 135820|801-64904|HAIDAR CAPITAL MANAGEMENT LLC|HAIDAR CAPITAL MANAGEMENT LLC|415 MADISON AVENUE|24TH FLOOR|NEW YORK NY 10017|USA|||  ||SAID NAZEM HAIDAR|212-752-5077|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Market timing services, Other|APPROVED|11/22/2005|0|0|0|0|0|0
Northeast Regional Office| 135884|801-65693|TITAN CAPITAL GROUP III, LP|TITAN CAPITAL GROUP III, LP|405 LEXINGTON AVENEUE, 51ST FLOOR||NEW YORK NY 10022|USA|||  ||STEPHEN L. COHEN|(212) 750-5700|Other (specify)|Other|APPROVED|01/27/2006|0|0|0|0|0|0
Northeast Regional Office| 135926|801-64496|ALPHA BETA CAPITAL MANAGEMENT, LLC|ALPHA BETA CAPITAL MANAGEMENT, LLC|750 LEXINGTON AVENUE|18TH FLOOR|NEW YORK NY 10022|USA|||  ||PHILIP CHAPMAN|212 935 1970|Limited Liability Company|Selection of other advisers, Other|APPROVED|07/22/2005|0|0|0|0|0|0
Northeast Regional Office| 135943|801-65508|MIDSUMMER CAPITAL, LLC.|MIDSUMMER CAPITAL, LLC.|485 MADISON AVE.|23RD FLOOR|NEW YORK NY 10022|USA|||  ||KEVIN CONNIFF|212-584-2146|Limited Liability Company|Other|APPROVED|01/23/2006|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 135952|801-64538|BLACKSTONE REAL ESTATE ADVISORS INTERNATIONAL II L.P.|BLACKSTONE REAL ESTATE ADVISORS INTERNATIONAL II 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-120|07/27/2005|0|0|0|0|0|0
Northeast Regional Office| 135955|801-64534|GREEN & SMITH INVESTMENT MANAGEMENT L.L.C.|GREEN & SMITH INVESTMENT MANAGEMENT L.L.C.|100 SUMMIT LAKE DRIVE||VALHALLA NY 10595|USA|||  ||JANE PERL|914-741-5600|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/03/2005|0|0|0|0|0|0
Northeast Regional Office| 135972|801-64804|DOUBLE V MANAGEMENT, L.P.|DOUBLE V MANAGEMENT, L.P.|101 PARK AVENUE|23RD FLOOR|NEW YORK NY 10178|USA|||  ||NICOLE G. MORELLO|(212) 251-3850|Other (specify)|Other|APPROVED|10/28/2005|0|0|0|0|0|0
Northeast Regional Office| 135986|801-64502|ARISTEIA CAPITAL, LLC|ARISTEIA CAPITAL, LLC|136 MADISON AVENUE|THIRD FLOOR|NEW YORK NY 10016-6711|USA|||  ||HARRY HJARDEMAAL|212-842-8900|Limited Liability Company|Other|APPROVED|07/13/2005|0|0|0|0|0|0
Northeast Regional Office| 135990|801-64570|LS ADVISERS, LLC|LS ADVISERS, LLC|153 EAST 53RD STREET|55TH FLOOR|NEW YORK NY 10022|USA|||  ||ROSE M. CARLING|212-207-6500|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/16/2005|0|0|0|0|0|0
Northeast Regional Office| 135998|801-64970|HAYSTACK CAPITAL MANAGEMENT, LLC|HAYSTACK CAPITAL MANAGEMENT, LLC|C/O FIRST NEW YORK SECURITIES|850 THIRD AVENUE|NEW YORK NY 10022|USA|||  ||DOUGLAS TOPKIS|212-331-6529|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
Northeast Regional Office| 136004|801-65522|SAVANNAH-BALTIMORE CAPITAL MANAGEMENT|SAVANNAH-BALTIMORE CAPITAL MANAGEMENT, LLC|410 PARK AVENUE|SUITE 420|NEW YORK NY 10022|USA|||  ||PETER M. MULDERRY|646-898-4824|Limited Liability Company|Other|APPROVED|01/24/2006|0|0|0|0|0|0
Northeast Regional Office| 136023|801-64421|GLOBAL HEDGE STRATEGIES, LLC|GLOBAL HEDGE STRATEGIES, LLC|153 EAST 53RD STREET|3RD FLOOR|NEW YORK NY 10022|USA|||  ||ANDREW BALDAUF|212-657-0019|Limited Liability Company|Selection of other advisers, Other|APPROVED-120|07/25/2005|0|1|0|0|0|0
Northeast Regional Office| 136069|801-64611|NORMAN FIELDS, GOTTSCHO CAPITAL MANAGEMENT LLC|NORMAN FIELDS, GOTTSCHO CAPITAL MANAGEMENT LLC|570 LEXINGTON AVENUE|12TH FLOOR|NEW YORK NY 10022-6822|USA|||  ||CHRISTOPHER M. GOTTSCHO|212-702-6531|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
Northeast 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|15|1|0|0|0
Northeast Regional Office| 136108|801-64479|TWF MANAGEMENT COMPANY, LLC|TWF MANAGEMENT COMPANY, LLC|620 FIFTH AVENUE|C/O TERRAPIN PARTNERS, LLC|NEW YORK NY 10020|USA|||  ||VINCENT M. SARULLO|212-332-3569|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/01/2005|0|0|0|0|0|0
Northeast 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
Northeast 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|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/08/2005|0|0|0|0|0|0
Northeast Regional Office| 136167|801-64730|AMBER CAPITAL INVESTMENT MANAGEMENT|AMBER CAPITAL LP|600 LEXINGTON AVENUE|34TH FLOOR|NEW YORK NY 10022|USA|||  ||MICHEL BROGARD|212-340-7340|Partnership|Other|APPROVED-120|09/19/2005|0|0|0|0|0|0
Northeast Regional Office| 136185|801-65478|BASSINI PLAYFAIR WRIGHT ADVISORS, INC.|BASSINI PLAYFAIR WRIGHT ADVISORS, INC.|150 EAST 52ND STREET|26TH FLOOR|NEW YORK NY 10022|USA|||  ||TALINE FESTEKJIAN|212-218-3916|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/24/2006|0|0|0|0|0|0
Northeast Regional Office| 136187|801-65417|BPW ASSET MANAGEMENT LLC|BPW ASSET MANAGEMENT LLC|150 EAST 52ND STREET|26TH FLOOR|NEW YORK NY 10022|USA|||  ||TALINE FESTEKJIAN|212 218 3900|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/24/2006|0|0|0|0|0|0
Northeast Regional Office| 136208|801-65415|BASSINI PLAYFAIR WRIGHT LLC|BASSINI PLAYFAIR WRIGHT LLC|150 EAST 52ND STREET|26TH FLOOR|NEW YORK NY 10022|USA|||  ||TALINE FESTEKJIAN|212-218-3900|Limited Liability Company|Other|APPROVED|01/18/2006|0|0|0|0|0|0
Northeast Regional Office| 136228|801-65769|ECHO STREET CAPITAL MANAGEMENT LLC|ECHO STREET CAPITAL MANAGEMENT LLC|747 3RD AVENUE|33RD FLOOR|NEW YORK NY 10017|USA|||  ||DAVID ELIAS|212 821 1473|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
Northeast Regional Office| 136253|801-65332|CEDARVIEW CAPITAL MANAGEMENT, LP|CEDARVIEW CAPITAL MANAGEMENT, LP|405 LEXINGTON AVE.|39TH FLOOR|NEW YORK NY 10174|USA|||  ||MEGAN THOMAS|212.949.1843|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/23/2006|0|0|0|0|0|0
Northeast 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)|APPROVED|09/08/2005|0|0|0|0|0|0
Northeast 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|USA|||  ||TERESA M. G. GILBREATH|(973) 802-3381|Limited Liability Company|Publication of periodicals or newsletters, Other|APPROVED|08/16/2005|0|0|0|0|0|0
Northeast Regional Office| 136299|801-64670|CIRCLE T EXPLORER ASSET MANAGEMENT LLC|CIRCLE T EXPLORER ASSET MANAGEMENT LLC|153 EAST 53RD STREET SUITE 5501||NEW YORK NY 10022|USA|||  ||SETH PLATT|212-508-7045|Limited Liability Company|Other|APPROVED-120|09/07/2005|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 136322|801-65048|BUSHIDO CAPITAL PARTNERS, LTD.|BUSHIDO CAPITAL PARTNERS, LTD.|275 SEVENTH AVENUE|SUITE 2000|NEW YORK NY 10001|USA|||  ||YVONNE MORABITO|212-750-5200|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/09/2006|0|0|0|0|0|0
Northeast Regional Office| 136340|801-6604|WEISS, PECK & GREER INVESTMENTS|ROBECO USA, LLC|909 THIRD AVE||NEW YORK NY 10022|USA|||  ||MARY ANN IUDICE|212-908-9620|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/27/1970|0|7|0|0|0|0
Northeast Regional Office| 136346|801-64526|NATIONAL WEALTH MANAGEMENT, LLC|NATIONAL WEALTH MANAGEMENT, LLC|55 MADISON AVENUE|SUITE 400|MORRISTOWN NJ 07960|USA|||  ||DAVID J. COTTAM|973-285-3336|Limited Liability Company|Financial planning services, 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
Northeast Regional Office| 136368|801-65507|SCOTT'S COVE CAPITAL MANAGEMENT LLC|SCOTT'S COVE CAPITAL MANAGEMENT LLC|237 PARK AVENUE, SUITE 800||NEW YORK NY 10017|USA|||  ||ESO UNUSAN|212-808-2497|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/23/2006|0|0|0|0|0|0
Northeast Regional Office| 136390|801-64589|PERSHING SQUARE HOLDINGS GP, LLC|PERSHING SQUARE HOLDINGS GP, LLC|110 EAST 42ND STREET, 18TH FLOOR||NEW YORK NY 10017|USA|||  ||MARCELLA BUTLER|212-883-6402|Limited Liability Company|Other|APPROVED|08/19/2005|0|0|0|0|0|0
Northeast Regional Office| 136393|801-64523|TENOR OPPORTUNITY ASSOCIATES, LLC|TENOR OPPORTUNITY ASSOCIATES, LLC|65 EAST 55TH STREET|35TH FLOOR|NEW YORK NY 10022|USA|||  ||MATTHEW STARR|212 546-7613|Limited Liability Company|Other|APPROVED|07/15/2005|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 136445|801-65383|DOUBLE ALPHA GROUP, INC.|DOUBLE ALPHA GROUP, INC.|767 THIRD AVENUE, 38TH FLOOR||NEW YORK NY 10017|USA|||  ||SARA MALAK|212-994-9872|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
Northeast 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|||  ||EVA CHANCEL|646-289-7290|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
Northeast 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|95 FOREST AVENUE||LOCUST VALLEY NY 11560|NASSAU|PETER KEPGH|212 918-8900|Limited Liability Company|Other|APPROVED|01/24/2006|0|0|0|0|0|0
Northeast Regional Office| 136467|801-65688|WILLIAMSON MCAREE INVESTMENT PARTNERS LLC|WILLIAMSON MCAREE INVESTMENT PARTNERS LLC|320 PARK AVENUE|23RD FLOOR|NEW YORK NY 10022-6815|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
Northeast Regional Office| 136473|801-64635|BRIGHTWATER ASSET MANAGEMENT LLC|BRIGHTWATER ASSET MANAGEMENT LLC|598 MADISON AVENUE, 5TH FLOOR||NEW YORK NY 10022|USA|||  ||DONALD M. KRUEGER|(212) 452-6100|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/01/2005|0|0|0|0|0|0
Northeast Regional Office| 136481|801-64574|PARADIGM FUNDS ADVISOR LLC|PARADIGM FUNDS ADVISOR LLC|9 ELK STREET||ALBANY NY 12207|USA|||  ||DAVID J. DELUCA|518-431-3261|Limited Liability Company|Portfolio management for investment companies|APPROVED-120|08/19/2005|0|0|0|0|0|0
Northeast Regional Office| 136493|801-64782|MFA SPARTAN, INC.|MFA SPARTAN, INC.|C/O MFA MORTGAGE INVESTMENTS, INC.|350 PARK AVENUE, 21ST FLOOR|NEW YORK NY 10022|USA|||  ||TIM KORTH|212-207-6400|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/24/2005|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 136503|801-65549|EMF FINANCIAL PRODUCTS LLC|EMF FINANCIAL PRODUCTS LLC|675 THIRD AVENUE|SUITE 2800|NEW YORK NY 10017|USA|||  ||JEREMY EDELSTEIN|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
Northeast Regional Office| 136511|801-64558|ROSS ASSET MANAGEMENT LLC|ROSS ASSET MANAGEMENT LLC|1913 ATLANTIC AVENUE|SUITE F5|MANASQUAN NJ 08736|USA|82 VARDON WAY||FARMINGDALE NJ 07727|USA|EUGENE ROSS|908-770-4448|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED-120|09/02/2005|0|0|0|0|0|0
Northeast Regional Office| 136514|801-64552|AZIMUTH TRUST MANAGEMENT, LLC|AZIMUTH TRUST MANAGEMENT, LLC|162 FIFTH AVENUE|8TH FLOOR|NEW YORK NY 10010|USA|||  ||TERENCE S. MEEHAN|212-366-8700|Limited Liability Company|Financial planning 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|07/17/2005|0|0|0|0|0|0
Northeast 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|Other|APPROVED|01/27/2006|0|0|0|0|0|0
Northeast Regional Office| 136535|801-64603|HEMISPHERE PARTNERS LLC|HEMISPHERE PARTNERS LLC|1230 AVENUE OF THE AMERICAS|SUITE 755|NEW YORK NY 10020|USA|||  ||MITCHELL HELLER|212-618-6336|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED-120|08/22/2005|0|0|0|0|0|0
Northeast Regional Office| 136539|801-65738|ROSEDALE ASSET MANAGEMENT|ROSEDALE ASSET MANAGEMENT|237 PARK AVENUE|8TH FLOOR|NEW YORK NY 10017-3187|USA|||  ||CARRIE MALONE|212-808-3712|Partnership|Other|APPROVED|01/27/2006|0|0|0|0|0|0
Northeast Regional Office| 136556|801-64756|BOONE CAPITAL MANAGEMENT LP|BOONE CAPITAL MANAGEMENT LP|400 MADISON AVENUE|SUITE 12D|NEW YORK NY 10017|USA|||  ||MARK E. ZOLDAN|212-224-7865|Partnership|Other|APPROVED|09/26/2005|0|0|0|0|0|0
Northeast 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), Selection of other advisers, Other|APPROVED-120|10/03/2005|0|0|0|0|0|0
Northeast Regional Office| 136636|801-65777|ARLINGTON HILL INVESTMENT MANAGEMENT LLC|ARLINGTON HILL INVESTMENT MANAGEMENT LLC|3 SECOND ST. HARBORSIDE FINANCIAL CENTER|PLAZA 10, SUITE 202|JERSEY CITY NJ 07311|USA|||  ||WILLIAM JACOBY|201-255-2235|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/28/2006|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 136656|801-64749|OAK HILL CAPITAL MANAGEMENT, LLC|OAK HILL CAPITAL MANAGEMENT, LLC|65 EAST 55TH STREET, 36TH FLOOR||NEW YORK NY 10022|USA|||  ||GREGORY RUBIN|212-326-1500|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/03/2005|0|0|0|0|0|0
Northeast Regional Office| 136670|801-65921|NWI MANAGEMENT LP|NWI MANAGEMENT LP|45 EAST 53RD STREET||NEW YORK NY 10022|USA|||  ||JENNIFER CHOI|212-297-2958|Other (specify)|Other|APPROVED|01/27/2006|0|0|0|0|0|0
Northeast Regional Office| 136677|801-65334|DYNAMIC CAPITAL MANAGEMENT LLC|DYNAMIC CAPITAL MANAGEMENT LLC|630 FIFTH AVENUE|SUITE 2450|NEW YORK NY 10111|USA|||  ||DENISE O'CONNOR BUMB|212-246-9000|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/2006|0|0|0|0|0|0
Northeast Regional Office| 136683|801-64711|WEALTH MANAGEMENT|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-120|09/13/2005|0|0|0|0|0|0
Northeast Regional Office| 136684|801-65360|SEMINOLE MANAGEMENT CO., INC.|SEMINOLE MANAGEMENT CO., INC.|150 EAST 52ND ST||NEW YORK NY 07450|USA|||  ||ELIZABETH REYNOLDS|212-838-6055|Corporation|Other|APPROVED|01/26/2006|0|0|0|0|0|0
Northeast Regional Office| 136713|801-64816|CYRUS CAPITAL PARTNERS, L.P.|CYRUS CAPITAL PARTNERS, L.P.|390 PARK AVENUE|21ST FLOOR|NEW YORK NY 10022-4608|USA|||  ||ROBERT NISI|212-380-5820|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/04/2005|0|0|0|0|0|0
Northeast Regional Office| 136717|801-65298|IRONBOUND CAPITAL MANAGEMENT LP|IRONBOUND CAPITAL MANAGEMENT LP|5 VAUGHN DRIVE, SUITE 106||PRINCETON NJ 08540|USA|||  ||LINDA M. SCHILLING|609-951-5003|Other (specify)|Other|APPROVED|01/13/2006|0|0|0|0|0|0
Northeast Regional Office| 136732|801-65025|GALLEON MANAGEMENT, LP|GALLEON MANAGEMENT, LP|135 EAST 57TH STREET, 16TH FLOOR||NEW YORK NY 10022|USA|||  ||GEORGE LAU|212-829-4034|Limited Liability Partnership|Other|APPROVED|01/03/2006|0|1|0|0|0|0
Northeast Regional Office| 136754|801-65002|JL ADVISORS, LLC|JL ADVISORS, LLC|400 MADISON AVENUE||NEW YORK NY 10017|USA|||  ||DAVID A. BARNETT|212-593-6760|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/09/2005|0|0|0|0|0|0
Northeast 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|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/24/2006|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 136769|801-64652|PERSHING SQUARE III GP, LLC|PERSHING SQUARE III GP, LLC|110 EAST 42ND STREET|18TH FLOOR|NEW YORK NY 10017|USA|||  ||MARCELLA BUTLER|212-883-6402|Limited Liability Company|Other|APPROVED|09/08/2005|0|0|0|0|0|0
Northeast Regional Office| 136776|801-64663|401KID, INC.|401KID, INC.|627 GREENWICH ST.|3RD FLOOR|NEW YORK NY 10014|USA|||  ||ARMAN ROUSTA|212-675-9415|Corporation|Financial planning services|APPROVED|08/26/2005|0|0|0|0|0|0
Northeast Regional Office| 136810|801-65691|SANDELMAN PARTNERS|SANDELMAN PARTNERS, LP|500 PARK AVENUE, 3RD FLOOR||NEW YORK NY 10022|USA|||  ||HOLLY M. BERG|212-299-7600|Partnership|Other|APPROVED|01/27/2006|0|0|0|0|0|0
Northeast Regional Office| 136827|801-65502|ARTESIAN CAPITAL MANAGEMENT|ARTESIAN CAPITAL MANAGEMENT (DELAWARE) LP|770 BROADWAY|LEVEL 2, SUITE 223|NEW YORK NY 10003|USA|||  ||MAUREEN HORN|646-495-6051|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/26/2006|0|0|0|0|0|0
Northeast Regional Office| 136838|801-65791|6800 CAPITAL, L.L.C.|6800 CAPITAL, L.L.C.|ONE PALMER SQUARE|SUITE 530|PRINCETON NJ 08542|USA|||  ||LAURA M. LATELLA|609-921-6595|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
Northeast Regional Office| 136868|801-65159|HAMILTON LANE RICHCOURT ADVISORS LLC|HAMILTON LANE RICHCOURT ADVISORS LLC|825 THIRD AVENUE, 35TH FLOOR||NEW YORK NY 10022|USA|||  ||JOHN MENSACK|(212) 271-4256|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED-120|01/13/2006|0|0|0|0|0|0
Northeast Regional Office| 136895|801-64739|EMPORIA CAPITAL MANAGEMENT, LLC|EMPORIA CAPITAL MANAGEMENT, LLC|450 PARK AVENUE||NEW YORK NY 10012|USA|||  ||RAPHAEL LICHT|215-861-7884|Limited Liability Company|Other|APPROVED|10/11/2005|0|1|0|0|0|0
Northeast Regional Office| 136905|801-65622|TWIN SECURITIES, INC.|TWIN SECURITIES, INC.|140 EAST 45TH STREET, 27TH FLOOR||NEW YORK NY 10017|USA|||  ||JEFF LAZAR|212 687 6859|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/2006|0|0|0|0|0|0
Northeast 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|01/27/2006|0|0|0|0|0|0
Northeast Regional Office| 136935|801-65070|ORANGE CAPITAL, LLC|ORANGE CAPITAL, LLC|787 7TH AVENUE|9TH FLOOR|NEW YORK NY 10019|USA|||  ||RUSSELL HOFFMAN|212-786-6350|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
Northeast Regional Office| 136940|801-66295|CENTRE ASSET MANAGEMENT, LLC|CENTRE ASSET MANAGEMENT, LLC|30 WALL STREET|6TH FLOOR|NEW YORK NY 10005|USA|||  ||JAMES ABATE|212-785-7648|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
Northeast Regional Office| 136954|801-64999|GARGOYLE ASSET MANAGEMENT LLC|GARGOYLE ASSET MANAGEMENT LLC|285 GRAND AVENUE|BUILDING 3, 2ND FLOOR|ENGLEWOOD NJ 07631-4369|USA|||  ||JOSHUA B. PARKER|201-227-2205|Limited Liability Company|Other|APPROVED|01/27/2006|0|0|0|0|0|0
Northeast Regional Office| 136956|801-64814|KAMSOKE, BRIAN SCOTT CLEARVIEW FINANCIAL ADVISORS OF CENTRAL NY|BRIAN SCOTT KAMSOKE|198 COUNTY ROAD 10A||NORWICH NY 13815-3626|USA|||  ||BRIAN KAMSOKE|607-334-7236|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED-120|02/01/2006|0|0|0|0|0|0
Northeast Regional Office| 136966|801-65462|SECOND CURVE CAPITAL, LLC|SECOND CURVE CAPITAL, LLC|405 LEXINGTON AVENUE|52ND FLOOR|NEW YORK NY 10174|USA|||  ||LORELEI MARTIN|646-563-7630|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/2006|1|0|0|0|0|0
Northeast Regional Office| 136979|801-64755|BLACKSTONE MANAGEMENT PARTNERS V L.L.C.|BLACKSTONE MANAGEMENT PARTNERS V 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-120|10/07/2005|0|1|1|0|0|0
Northeast 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|APPROVED|01/27/2006|0|0|0|0|0|0
Northeast 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|APPROVED-120|09/21/2005|0|0|0|0|0|0
Northeast Regional Office| 137018|801-65555|BRIGHTFIELD CAPITAL MANAGEMENT, L.L.C.|BRIGHTFIELD CAPITAL MANAGEMENT, L.L.C.|780 THIRD AVENUE - 45TH FLOOR||NEW YORK NY 10017|USA|||  ||JANINE BRADLEY, C/O BRIGHTFIELD CAPITAL MANAGEMENT, L.L.C.|212-833-9968|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/26/2006|0|0|0|0|0|0
Northeast Regional Office| 137020|801-66193|SENTINEL SYMPHONY INVESTMENT ADVISORS, LLC|SENTINEL SYMPHONY INVESTMENT ADVISORS, LLC|68 CARMAN AVENUE||CEDARHURST NY 11516|USA|||  ||SAMANTHA WINTER|4153801988|Limited Liability Company|Other|APPROVED|02/01/2006|0|0|0|0|0|0
Northeast 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
Northeast 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
Northeast Regional Office| 137026|801-65277|ARGAND CAPITAL ADVISORS LLC|ARGAND CAPITAL ADVISORS LLC|909 THIRD AVENUE|29TH FLOOR|NEW YORK NY 10022|USA|||  ||SAMANTHA WEISEN|212-350-4208|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/23/2006|0|0|0|0|0|0
Northeast Regional Office| 137028|801-64710|CAM NORTH AMERICA, LLC|CAM NORTH AMERICA, LLC|399 PARK AVENUE||NEW YORK NY 10022|USA|||  ||MICHAEL F. ROSENBAUM|212-559-3627|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|1|0|0|0|0|0
Northeast Regional Office| 137031|801-65280|BRIGANTINE CAPITAL PARTNERS, LLC|BRIGANTINE CAPITAL PARTNERS, LLC|909 THIRD AVENUE|29TH FLOOR|NEW YORK NY 10022|USA|||  ||SAMANTHA M. WEISEN|212-350-4208|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/23/2006|0|0|0|0|0|0
Northeast Regional Office| 137036|801-64940|ELCO MANAGEMENT COMPANY, LLC|ELCO MANAGEMENT COMPANY, 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
Northeast 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|212-328-7130|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/18/2005|0|0|0|0|0|0
Northeast Regional Office| 137091|801-64795|S3 PARTNERS, LLC.|S3 PARTNERS, LLC.|590 MADISON AVENUE||NEW YORK NY 10022|USA|||  ||HOWARD SUGARMAN|212-759-5222|Limited Liability Company|Other|APPROVED|11/16/2005|0|0|0|0|0|0
Northeast 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 E. 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)|APPROVED|12/16/2005|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 137129|801-65102|PARABOLIC PARTNERS CAPITAL MANAGEMENT LLC|PARABOLIC PARTNERS CAPITAL MANAGEMENT LLC|396 SPRINGFIELD AVENUE|3RD FLOOR|SUMMIT NJ 07901|USA|||  ||MICHAEL J. KOSTOLANSKY|908-918-0118|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/06/2006|0|0|0|0|0|0
Northeast Regional Office| 137136|801-65149|GORDON ASSET MANAGEMENT LLC|GORDON ASSET MANAGEMENT LLC|411 THEODORE FREMD AVENUE||RYE NY 10580|USA|||  ||ARTHUR S. GORDON|914-921-5500|Limited Liability Company|Other|APPROVED|01/13/2006|0|0|0|0|0|0
Northeast Regional Office| 137140|801-65566|ICP ASSET MANAGEMENT LLC|ICP ASSET MANAGEMENT LLC|445 PARK AVENUE|12TH FLOOR|NEW YORK NY 10022|USA|||  ||JOHN VECCHIO|212-821-1981|Limited Liability Company|Other|APPROVED-120|01/26/2006|0|0|1|0|0|0
Northeast Regional Office| 137142|801-65265|PRINCIPLED ASSET ADMINISTRATION, L.L.C.|PRINCIPLED ASSET ADMINISTRATION, L.L.C.|666 FIFTH AVENUE, 34TH FLOOR||NEW YORK NY 10103-0001|USA|||  ||DEBRA JENNINGS|212-484-5040|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
Northeast Regional Office| 137147|801-65045|LEVIN CAPITAL STRATEGIES, L.P.|LEVIN CAPITAL STRATEGIES, L.P.|ONE ROCKEFELLER PLAZA|18TH FLOOR|NEW YORK NY 10020|USA|||  ||RAYMOND OTTUSCH|212-259-0800|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED-120|01/20/2006|0|0|0|0|0|0
Northeast Regional Office| 137165|801-65751|RAVEN ASSET MANAGEMENT, LLC|RAVEN ASSET MANAGEMENT, LLC|195 MAPLEWOOD AVE||MAPLEWOOD NJ 07040|USA|||  ||KEVIN GERLITZ|973-313-6475|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/2006|0|0|0|0|0|0
Northeast Regional Office| 137168|801-65650|AURARIAN CAPITAL MANAGEMENT, LLC|AURARIAN CAPITAL MANAGEMENT, LLC|712 FIFTH AVE|39TH FLOOR|NEW YORK NY 10019|USA|||  ||BRIAN HICKS|212-315-8527|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/2006|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 137177|801-65186|VAN ECK ABSOLUTE RETURN ADVISERS CORP.|VAN ECK ABSOLUTE RETURN ADVISERS CORP.|99 PARK AVENUE|8TH FLOOR|NEW YORK NY 10016|USA|||  ||HEIDI CAIN|212-293-2037|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
Northeast 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
Northeast 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
Northeast Regional Office| 137208|801-66058|PROMED MANAGEMENT, INC.|PROMED MANAGEMENT|237 PARK AVE. 9TH FLOOR||NEW YORK NY 10017|USA|||  ||OWEN DOLAN|212-692-3625|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/2006|0|0|0|0|0|0
Northeast 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-120|09/26/2005|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 137243|801-64876|TALA INVESTMENTS, LP|TALA INVESTMENTS, LP|390 PARK AVENUE, 18TH FLOOR||NEW YORK NY 10022|USA|||  ||ELIZABETH BURNETT|212-407-6242|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/14/2005|0|0|0|0|0|0
Northeast Regional Office| 137268|801-65560|HABERMAN MANAGEMENT CORP.|HABERMAN MANAGEMENT CORP.|900 THIRD AVENUE|27TH FLOOR|NEW YORK NY 10022|USA|||  ||ROSS L. HABERMAN|212-610-2678|Corporation|Other|APPROVED|01/26/2006|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 137271|801-65493|ROCKVIEW MANAGEMENT, LLC|ROCKVIEW MANAGEMENT, LLC|900 THIRD AVENUE|11TH FLOOR|NEW YORK NY 10022|USA|||  ||JOSEPH LAGNADO|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
Northeast Regional Office| 137275|801-65884|HELIOS ADVISORS LLC|HELIOS ADVISORS LLC|780 THIRD AVENUE, 10TH FLOOR||NEW YORK NY 10017|USA|||  ||N. GABRIEL TOLCHINSKY|212-883-9040|Limited Liability Company|Other|APPROVED|01/31/2006|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 137290|801-65536|SBZ MANAGEMENT, LLC|SBZ MANAGEMENT, LLC|1 HOLLOW LANE|SUITE 304|LAKE SUCCESS NY 11042|USA|||  ||GLENN SPRINGER|516-869-6797|Limited Liability Company|Other|APPROVED|01/24/2006|0|0|0|0|0|0
Northeast Regional Office| 137292|801-65191|TACONIC CAPITAL MANAGEMENT LLC|TACONIC CAPITAL MANAGEMENT LLC|450 PARK AVENUE|9TH FLOOR|NEW YORK NY 10022|USA|||  ||ELIZABETH KEELEY|(212) 209-3119|Limited Liability Company|Other|APPROVED|01/18/2006|0|0|0|0|0|0
Northeast Regional Office| 137295|801-65189|TACONIC CAPITAL ADVISORS LLC|TACONIC CAPITAL ADVISORS LLC|450 PARK AVENUE, 9TH FLOOR||NEW YORK NY 10022|USA|||  ||ELIZABETH KEELEY|(212) 209-3119|Limited Liability Company|Other|APPROVED|01/18/2006|0|0|0|0|0|0
Northeast Regional Office| 137304|801-65537|SBZ SELECT INVESTMENTS, LLC|SBZ SELECT INVESTMENTS, LLC|1 HOLLOW LANE, SUITE 304||LAKE SUCCESS NY 11042|USA|||  ||GLENN SPRINGER|516-869-6797|Limited Liability Company|Other|APPROVED|01/24/2006|0|0|0|0|0|0
Northeast Regional Office| 137319|801-65989|SUNOVA CAPITAL, LP|SUNOVA CAPITAL, LP|780 THIRD AVENUE|5TH FLOOR|NEW YORK NY 10017-2024|USA|||  ||JENNIFER WEISS|212-486-3100|Other (specify)|Other|APPROVED|01/31/2006|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 137330|801-65176|REXFORD HOLDING MANAGEMENT LLC|REXFORD HOLDING MANAGEMENT LLC|220 FIFTH AVE|14TH FLOOR|NEW YORK NY 10001-7708|USA|||  ||STUART ROSENBERG|(212) 483-1500 EXT. 228|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/13/2006|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 137349|801-64846|QUEST PARTNERS, LLC|QUEST PARTNERS, LLC|126 EAST 56TH STREET, 19TH FLOOR||NEW YORK NY 10022|USA|||  ||NEALE HANOVER|212-838-4455|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
Northeast Regional Office| 137350|801-65654|ADMIRAL ADVISORS, LLC|ADMIRAL ADVISORS, LLC|666 THIRD AVE|26TH FLOOR|NEW YORK NY 10017|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
Northeast Regional Office| 137354|801-64922|SIRE MANAGEMENT CORPORATION|SIRE MANAGEMENT CORPORATION|645 FIFTH AVENUE|18TH FLOOR|NEW YORK NY 10022|USA|||  ||MARK R. EAKER|212-546-6240|Corporation|Other|APPROVED|12/02/2005|0|0|0|0|0|0
Northeast Regional Office| 137358|801-65655|RCG ASIA ADVISORS, LLC|RCG ASIA ADVISORS, LLC|666 THIRD AVE|26TH FLOOR|NEW YORK NY 10017|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
Northeast 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
Northeast Regional Office| 137369|801-65850|EASTERN ADVISORS CAPITAL GROUP, LLC|EASTERN ADVISORS CAPITAL GROUP, LLC|101 PARK AVE., 48TH FLOOR||NEW YORK NY 10178|USA|||  ||SCOTT BOOTH|212-984-2333|Limited Liability Company|Other|APPROVED|01/30/2006|0|0|0|0|0|0
Northeast Regional Office| 137377|801-65206|ALOPEX CAPITAL MANAGEMENT, LLC|ALOPEX CAPITAL MANAGEMENT, LLC|461 FIFTH AVENUE|SUITE 2001|NEW YORK NY 10017|USA|||  ||RACHEL STEINMAN|212-481-8307|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/18/2006|0|1|0|0|0|0
Northeast 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
Northeast Regional Office| 137400|801-66122|PANACEA ASSET MANAGEMENT LLC|PANACEA ASSET MANAGEMENT LLC|1251 AVENUE OF THE AMERICAS||NEW YORK NY 10020|USA|||  ||SANDRA SATZ|212-899-4446|Limited Liability Company|Other|APPROVED|01/26/2006|0|0|0|0|0|0
Northeast 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|0|0|0|0|0
Northeast 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
Northeast Regional Office| 137430|801-65703|LIME CAPITAL MANAGEMENT, LLC|LIME CAPITAL MANAGEMENT, LLC|377 BROADWAY|11TH FLOOR|NEW YORK NY 10013|USA|||  ||JOHN N. JACOBS|212.219.6086|Limited Liability Company|Other|APPROVED|01/20/2006|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 137447|801-64787|TERRAPIN ASSET MANAGEMENT, LLC|TERRAPIN OFFSHORE ASSET MANAGEMENT, LLC|620 FIFTH AVENUE||NEW YORK NY 10020|USA|||  ||VINCENT M. SARULLO|212-332-3569|Limited Liability Company|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
Northeast Regional Office| 137454|801-65849|OAK HILL PLATINUM PARTNERS, L.L.C.|OAK HILL PLATINUM PARTNERS, L.L.C.|RECKSON EXECUTIVE PARK, BUILDING FOUR|1100 KING STREET|RYE BROOK NY 10573|USA|||  ||MICHAEL R. SCHWENK|914-690-2103|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2006|0|0|0|0|0|0
Northeast Regional Office| 137458|801-64856|POWERS & DUBIN ASSET ALLOCATION AND MANAGEMENT CO.|POWERS & DUBIN ASSET ALLOCATION AND MANAGEMENT CO.|30 MONTGOMERY STREET|SUITE 1245|JERSEY CITY NJ 07302|USA|||  ||JAMES POWERS|201-434-8181|Corporation|Selection of other advisers, Other|APPROVED|11/17/2005|0|0|0|0|0|0
Northeast Regional Office| 137463|801-64791|CITIGROUP INVESTMENT ADVISORY SERVICES INC.|CITIGROUP INVESTMENT ADVISORY SERVICES INC.|388 GREENWICH STREET||NEW YORK NY 10013|USA|||  ||THOMAS D. HARMAN|212-816-4050|Corporation|Portfolio management for investment companies, Selection of other advisers|APPROVED-120|11/29/2005|0|8|0|0|0|0
Northeast Regional Office| 137468|801-65352|CAM ENERGY, LLC|CAM ENERGY, LLC|1 N END AVE|SUITE 1101, WORLD FINANCIAL CENTER|NEW YORK NY 10282|USA|||  ||ALLEN K. WOLF|212-857-6971|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/23/2006|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 137490|801-64932|PHINITY CAPITAL LLC|PHINITY CAPITAL LLC|400 KELBY STREET||FORT LEE NJ 07024|USA|||  ||ANTHONY ARMENIO|201-363-8510|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/25/2005|0|0|0|0|0|0
Northeast Regional Office| 137494|801-65981|ASIAN CENTURY QUEST CAPITAL LLC|ASIAN CENTURY QUEST CAPITAL LLC|152 WEST 57TH STREET|7TH FLOOR|NEW YORK NY 10019|USA|||  ||STEVE ZANG|212-328-9303|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2006|0|0|0|0|0|0
Northeast Regional Office| 137499|801-65272|GEORGE THOMAS NOONEY|GEORGE THOMAS NOONEY|C/O LAR MANAGEMENT, INC.|230 PARK AVE, 7TH FLOOR|NEW YORK NY 10169-0005|USA|||  ||GEORGE THOMAS NOONEY|(212) 499-1306|Sole Proprietorship|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
Northeast Regional Office| 137505|801-65794|JCK PARTNERS, L.P.|JCK PARTNERS, L.P.|745 FIFTH AVENUE|17TH FL|NEW YORK NY 10151|USA|||  ||LAWRENCE D. CUTLER|646-720-9200|Partnership|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
Northeast Regional Office| 137509|801-65754|ROCKBAY CAPITAL MANAGEMENT, L.P.|ROCKBAY CAPITAL MANAGEMENT, LP|600 FIFTH AVENUE, 24TH FLOOR||NEW YORK NY 10020-2310|USA|||  ||GEORGE CHANG|212-332-4220|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/2006|0|0|0|0|0|0
Northeast Regional Office| 137517|801-65938|BROADLAWN CAPITAL, LLC|BROADLAWN CAPITAL, LLC|40 CUTTERMILL ROAD|SUITE 402|GREAT NECK NY 11021|USA|||  ||JON BLOOM|516-829-4162|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/31/2006|0|0|0|0|0|0
Northeast 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|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/18/2006|0|0|0|0|0|0
Northeast Regional Office| 137521|801-65937|CHAUDHRI INVESTMENT ADVISORS, INC.|CHAUDHRI INVESTMENT ADVISORS, INC.|660 MADISON AVENUE|14TH FLOOR|NEW YORK NY 10021-8405|USA|||  ||JAMES GIUNCHI|212-644-1234|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/31/2006|0|0|0|0|0|0
Northeast Regional Office| 137524|801-65181|KAIA INVESTMENT MANAGEMENT LP|KAIA INVESTMENT MANAGEMENT LP|767 3RD AVENUE|21ST FLOOR|NEW YORK NY 10017|USA|||  ||J. NIEL ARMSTRONG|415 677-1557|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED-120|01/27/2006|0|0|0|0|0|0
Northeast Regional Office| 137531|801-65271|LAWRENCE AARON RADER|LAWRENCE AARON RADER|C/O LAR MANAGEMENT, INC.|230 PARK AVE., 7TH FLOOR|NEW YORK NY 10169|USA|||  ||LAWRENCE A. RADER|(212) 499-1308|Sole Proprietorship|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/23/2006|0|0|0|0|0|0
Northeast Regional Office| 137534|801-65031|CLARUS CAPITAL MANAGEMENT|CLARUS CAPITAL MANAGEMENT LLC|237 PARK AVE.|SUITE 900|NEW YORK NY 10017|USA|||  ||EPHRAIM FIELDS|212-808-7330|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/03/2006|0|0|0|0|0|0
Northeast Regional Office| 137537|801-65138|TRELLUS MANAGEMENT COMPANY, LLC|TRELLUS MANAGEMENT COMPANY, LLC|350 MADISON AVE, 9TH FLOOR||NEW YORK NY 10017|USA|||  ||ANTHONY G. MILLER|212-389-8783|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/13/2006|0|0|0|0|0|0
Northeast 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|||  ||JOHN M.B. O'CONNOR|212-835-1955|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/18/2006|0|0|0|0|0|0
Northeast Regional Office| 137545|801-65963|STG CAPITAL MANAGEMENT, LP|STG CAPITAL MANAGEMENT, LP|780 THIRD AVENUE, SUITE 301||NEW YORK NY 10017|USA|||  ||STAN GONZALEZ|212-622-7713|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2006|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 137562|801-65490|TREFLIE CAPITAL MANAGEMENT, LLC|TREFLIE CAPITAL MANAGEMENT, LLC|40 LUMBER LANE|PO BOX 650|BRIDGEHAMPTON NY 11932|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
Northeast 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
Northeast Regional Office| 137569|801-65542|STRATEGIC EQUITY CAPITAL II, LLC|STRATEGIC EQUITY CAPITAL II, LLC|641 LEXINGTON AVENUE|14TH FLOOR|NEW YORK NY 10022|USA|||  ||JOJON KILEY TAMIR|212.207.6543|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/2006|0|0|0|0|0|0
Northeast Regional Office| 137576|801-65285|CADENCE INVESTMENT MANAGEMENT, LLC|CADENCE INVESTMENT MANAGEMENT, LLC|800 THIRD AVENUE|10TH FLOOR|NEW YORK NY 10022|USA|||  ||JOSEPH M. KIELY|212 300-2243|Limited Liability Company|Other|APPROVED|01/23/2006|0|0|0|0|0|0
Northeast Regional Office| 137585|801-65533|ASM CAPITAL|ASM CAPITAL ADVISORS, LLC|7600 JERICHO TURNPIKE|SUITE 302|WOODBURY NY 11797-1705|USA|||  ||DOUGLAS  WOLFE|516-224-6040|Limited Liability Company|Other|APPROVED|01/26/2006|0|0|0|0|0|0
Northeast Regional Office| 137596|801-65645|ARX INVESTMENT MANAGEMENT|ARX INVESTMENT MANAGEMENT LP|750 LEXINGTON AVENUE|17TH FLOOR|NEW YORK NY 10022|USA|||  ||BERNARD R. ADAMS|212-812-4740|Partnership|Other|APPROVED|01/27/2006|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 137612|801-66065|CARE CAPITAL GROUP|CARE ADVISORS LLC|830 THIRD AVENUE|8TH FLOOR|NEW YORK NY 10022|USA|||  ||ROBIN MOKHTAR|212 829-5837|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2006|0|0|0|0|0|0
Northeast Regional Office| 137617|801-66018|RUFF FUND MANAGEMENT, LLC|RUFF FUND MANAGEMENT, LLC|748 PERINTON HILLS OFFICE PARK||FAIRPORT NY 14450|USA|||  ||CHARLES WILLIAM RUFF|585-425-3090|Limited Liability Company|Other|APPROVED|01/31/2006|0|0|0|0|0|0
Northeast Regional Office| 137632|801-65287|CAPITAL Z ACCESS MANAGEMENT, LLC|CAPITAL Z ACCESS MANAGEMENT, LLC|54 THOMPSON STREET||NEW YORK NY 10012-4308|USA|||  ||CRAIG FISHER|212-965-2328|Limited Liability Company|Other|APPROVED|01/23/2006|0|0|0|0|0|0
Northeast 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|Partnership|Other|APPROVED|01/23/2006|0|0|0|0|0|0
Northeast Regional Office| 137654|801-65074|GREENBERG HEALTHCARE PARTNERS|GREENBERG HEALTHCARE PARTNERS, LLC|555 MADISON AVENUE, 29TH FLOOR||NEW YORK CITY NY 10022|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
Northeast 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
Northeast Regional Office| 137678|801-65227|EOS MANAGEMENT INC.|EOS MANAGEMENT INC.|320 PARK AVENUE, 9TH FLOOR||NEW YORK NY 10022|USA|||  ||BETH L. BERNSTEIN|212-832-5820|Corporation|Other|APPROVED|02/24/2006|0|0|0|0|0|0
Northeast Regional Office| 137682|801-64829|2100 LARCH LANE LLC|2100 LARCH LANE LLC|287 BOWMAN AVENUE, SECOND FLOOR||PURCHASE NY 10577|USA|||  ||M. TODD WILLIAMS|914-798-7600|Limited Liability Company|Other|APPROVED|10/19/2005|0|0|0|0|0|0
Northeast 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 4957338|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|11/04/2005|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 137700|801-65601|CORUS CAPITAL MANAGEMENT, LLC|CORUS CAPITAL MANAGEMENT, LLC|780 THIRD AVE, 44TH FLOOR||NEW YORK NY 10017|USA|||  ||RAQUEL DELEON|212 660 1176|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/2006|0|0|0|0|0|0
Northeast Regional Office| 137706|801-65077|SEMAPHORE MANAGEMENT LLC|SEMAPHORE MANAGEMENT LLC|320 PARK AVENUE|10TH FLOOR|NEW YORK NY 10022|USA|||  ||HOYT AMMIDON III|212-415-7242|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/09/2006|0|0|0|0|0|0
Northeast Regional Office| 137716|801-65369|RIVA RIDGE CAPITAL MANAGEMENT LP|RIVA RIDGE CAPITAL MANAGEMENT LP|55 FIFTH AVENUE, 18TH FLOOR||NEW YORK NY 10003|USA|||  ||DENNIS PARKS|646-284-9904|Other (specify)|Other|APPROVED|01/23/2006|0|0|0|0|0|0
Northeast Regional Office| 137717|801-65452|CIBELLI CAPITAL MANAGEMENT LLC|CIBELLI CAPITAL MANAGEMENT LLC|52 VANDERBILT AVENUE, 4TH FLOOR||NEW YORK NY 10017|USA|||  ||ERIC R. HIDY|212-490-0399|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2006|0|0|0|0|0|0
Northeast Regional Office| 137727|801-65426|NEW PROVIDENCE ASSET MANAGEMENT LLC|NEW PROVIDENCE ASSET MANAGEMENT LLC|650 FIFTH AVENUE|16TH FLOOR|NEW YORK NY 10019|USA|||  ||ERIC M. NORMAN|646-292-1202|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
Northeast 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|Financial planning services, 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
Northeast Regional Office| 137729|801-65639|PFG ADVISORS LLC|PFG ADVISORS LLC|54 BROAD STREET|SUITE 204|RED BANK NJ 07701-1931|USA|||  ||JEFF BARDOS|203-422-0460|Limited Liability Company|Other|APPROVED|01/23/2006|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 137750|801-65250|SEVEN BRIDGES MANAGEMENT, L.P.|SEVEN BRIDGES MANAGEMENT, L.P.|280 PARK AVENUE|21ST FLOOR WEST BUILDING|NEW YORK NY 10017|USA|||  ||BRUCE A. FALBAUM|212-455-6236|Other (specify)|Other|APPROVED|01/31/2006|0|0|0|0|0|0
Northeast 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)|APPROVED|01/30/2006|0|0|0|0|0|0
Northeast Regional Office| 137758|801-65759|TRICADIA CAPITAL MANAGEMENT, LLC|TRICADIA CAPITAL MANAGEMENT, LLC|767 THIRD AVENUE|11TH FLOOR|NEW YORK NY 10017|USA|||  ||JULIA WYATT|646-388-5926|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/2006|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 137774|801-65345|CALCINE MANAGEMENT, LLC|CALCINE MANAGEMENT, LLC|280 PARK AVENUE|21ST FLOOR, WEST TOWER|NEW YORK NY 10017|USA|||  ||ADAM HURWICH|212-455-6240|Limited Liability Company|Other|APPROVED|02/01/2006|0|0|0|0|0|0
Northeast 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
Northeast 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|||  ||JESSICA NICOSIA|212-245-0400|Corporation|Other|APPROVED|01/27/2006|0|1|0|0|0|0
Northeast Regional Office| 137790|801-64942|INVESTCORP INVESTMENT ADVISERS LLC|INVESTCORP INVESTMENT ADVISERS LLC|280 PARK AVENUE|38TH FLOOR|NEW YORK NY 10017|USA|||  ||BRIAN MURPHY|917-332-5719|Limited Liability Company|Other|APPROVED-120|11/25/2005|0|0|0|0|0|0
Northeast Regional Office| 137791|801-65746|D.B. ZWIRN & CO., L.P.|D.B. ZWIRN & CO., L.P.|745 FIFTH AVENUE|18TH FLOOR|NEW YORK NY 10151|USA|||  ||LAWRENCE D. CUTLER|(646) 720-9100|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/2006|0|0|0|0|0|0
Northeast 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|||  ||ALEXANDER E. KIPKA|212-888-1500|Limited Liability Company|Other|APPROVED|01/18/2006|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 137799|801-65815|ARGONAUT MANAGEMENT, L.P.|ARGONAUT MANAGEMENT, L.P.|780 THIRD AVENUE|23RD FLOOR|NEW YORK NY 10017|USA|||  ||KEVIN HIPP|(212) 317-2012|Partnership|Other|APPROVED|01/30/2006|0|0|0|0|0|0
Northeast Regional Office| 137806|801-64995|PRIVATE INVESTMENT PARTNERS, INC.|PRIVATE INVESTMENT PARTNERS INC.|1221 AVENUE OF THE AMERICAS|34TH FLOOR|NEW YORK NY 10020|USA|||  ||AGATHA PAKRUDA|212-762-6190|Corporation|Other|APPROVED|12/16/2005|0|0|0|0|0|0
Northeast Regional Office| 137809|801-65609|HUDSON BAY CAPITAL MANAGEMENT LP|HUDSON BAY CAPITAL MANAGEMENT LP|120 BROADWAY, 40TH FLOOR||NEW YORK NY 10271|USA|||  ||JOHN C. DOSCAS|212 571-1244|Partnership|Other|APPROVED|01/30/2006|0|0|0|0|0|0
Northeast Regional Office| 137812|801-65023|VICIS CAPITAL, LLC|VICIS CAPITAL, LLC|126 E. 56TH STREET|7TH FLOOR|NEW YORK NY 10022|USA|||  ||SHAD L.STASTNEY|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
Northeast Regional Office| 137813|801-65113|METROPOLITAN REAL ESTATE EQUITY MANAGEMENT, LLC|METROPOLITAN REAL ESTATE EQUITY MANAGEMENT, LLC|535 MADISON AVENUE|26TH FLOOR|NEW YORK NY 10022-4212|USA|||  ||FELIPE DORREGARAY|212-812-4923|Limited Liability Company|Selection of other advisers|APPROVED|01/06/2006|0|0|0|0|0|0
Northeast Regional Office| 137820|801-65618|HEALY CIRCLE CAPITAL MANAGEMENT LLC|HEALY CIRCLE CAPITAL MANAGEMENT LLC|444 MADISON AVENUE 34TH FLOOR||NEW YORK NY 10022|USA|||  ||AARON TAWIL|212-446-2443|Limited Liability Company|Other|APPROVED|01/27/2006|0|0|0|0|0|0
Northeast 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)|APPROVED|02/01/2006|0|0|0|0|0|0
Northeast 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 businesses or institutional clients (other than investment companies)|APPROVED|01/03/2006|0|1|0|0|0|0
Northeast Regional Office| 137838|801-65413|ONE CAPITAL MANAGEMENT PARTNERS, LLC|ONE CAPITAL 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
Northeast 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|||  ||JUSTIN L. BOISSEAU|212-626-0240|Corporation|Other|APPROVED|01/26/2006|0|0|0|0|0|0
Northeast Regional Office| 137843|801-65286|CAPITAL Z INVESTMENT PARTNERS, LLC|CAPITAL Z INVESTMENT PARTNERS, LLC|54 THOMPSON STREET||NEW YORK NY 10012-4308|USA|||  ||CRAIG FISHER|212-965-2328|Limited Liability Company|Other|APPROVED|01/23/2006|0|0|0|0|0|0
Northeast Regional Office| 137847|801-64859|SOPHROSYNE CAPITAL, LLC|SOPHROSYNE CAPITAL, LLC|45 ROCKEFELLER PLAZA|SUITE 2570|NEW YORK NY 10111|USA|P.O. BOX 1149||NEW YORK NY 10150|USA|BENJAMIN J. TAYLOR|212 920-4981|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|11/14/2005|0|0|0|0|0|0
Northeast Regional Office| 137857|801-65494|EXTON CAPITAL MANAGEMENT, LLC|EXTON CAPITAL MANAGEMENT, LLC|430 PARK AVENUE|SUITE 1403|NEW YORK NY 10022|USA|||  ||DAVID PROSKIN|212.301.2626|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/24/2006|0|0|0|0|0|0
Northeast Regional Office| 137861|801-65561|DIALECTIC CAPITAL MANAGEMENT, LLC|DIALECTIC CAPITAL MANAGEMENT, LLC|153 EAST 53RD STREET|29TH FLOOR|NEW YORK NY 10022|USA|||  ||LINDSAY B. KIPNES|212.230.3220|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/2006|0|0|0|0|0|0
Northeast Regional Office| 137882|801-65877|M2 CAPITAL MANAGEMENT, L.P.|M2 CAPITAL MANAGEMENT, L.P.|280 PARK AVENUE|SUITE 2300|NEW YORK NY 10017|USA|||  ||SALVATORE DI FRANCO|212-702-6711|Partnership|Other|APPROVED|01/24/2006|0|0|0|0|0|0
Northeast Regional Office| 137887|801-66149|CORSAIR CAPITAL LLC|CORSAIR CAPITAL LLC|277 PARK AVENUE|23RD FLOOR|NEW YORK NY 10172|USA|||  ||AMY SOEDA|212-622-6075|Limited Liability Company|Other|APPROVED-120|02/08/2006|0|0|0|0|0|0
Northeast Regional Office| 137894|801-64917|TAPESTRY ASSET MANAGEMENT L.P.|TAPESTRY ASSET MANAGEMENT L.P.|136 MAIN ST.|SUITE 305|PRINCETON NJ 08540|USA|||  ||KATHLEEN FILIPPONI|609.613.4233|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|12/02/2005|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 137909|801-65049|LONGACRE FUND MANAGEMENT, LLC|LONGACRE FUND MANAGEMENT, LLC|810 SEVENTH AVENUE, 22ND 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
Northeast Regional Office| 137910|801-65559|PIKE PLACE CAPITAL MANAGEMENT, LLC|PIKE PLACE CAPITAL MANAGEMENT, LLC|152 WEST 57TH STREET|46TH FLOOR|NEW YORK NY 10019-3309|USA|||  ||MARK ROSENTHAL|212-277-5664|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/20/2006|0|0|0|0|0|0
Northeast Regional Office| 137912|801-65151|PANTON CAPITAL GROUP, LLC|PANTON CAPITAL GROUP, LLC|666 FIFTH AVENUE|14TH FLOOR|NEW YORK NY 10103|USA|||  ||BENJAMIN G. BAKER|(212) 582-3100|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/15/2005|0|0|0|0|0|0
Northeast Regional Office| 137914|801-65324|PELTZ CAPITAL MANAGEMENT, LLC|PELTZ CAPITAL MANAGEMENT, LLC|C/O TRIARC COMPANIES, INC.|280 PARK AVENUE, 28TH FLOOR|NEW YORK NY 10017|USA|||  ||HARLAN PELTZ|212-451-3159|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/19/2006|0|0|0|0|0|0
Northeast Regional Office| 137927|801-65088|THIRD POINT LLC|THIRD POINT LLC|390 PARK AVENUE|18TH FLOOR|NEW YORK NY 10022|USA|||  ||JUSTIN S. NADLER|212 224 7406|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/12/2006|0|0|0|0|0|0
Northeast Regional Office| 137932|801-65158|BRAHMAN CAPITAL CORP.|BRAHMAN CAPITAL CORP.|655 3RD AVE.|11TH FLOOR|NEW YORK NY 10017|USA|||  ||BILL D'EREDITA|212-681-9797|Other (specify)|Other|APPROVED|01/13/2006|0|0|0|0|0|0
Northeast Regional Office| 137943|801-65602|KETTLE HILL CAPITAL MANAGEMENT, LLC|KETTLE HILL CAPITAL MANAGEMENT, LLC|101 PARK AVENUE|23RD FLOOR|NEW YORK NY 10178|USA|||  ||BRYAN KISS|212-251-3383|Limited Liability Company|Other|APPROVED|01/23/2006|0|0|0|0|0|0
Northeast Regional Office| 137956|801-65316|MORTAR ROCK CAPITAL MANAGEMENT, LLC|MORTAR ROCK CAPITAL MANAGEMENT, LLC|200 PARK AVENUE|SUITE 3900|NEW YORK NY 10166|USA|||  ||ROBERT CAMPBELL|212 808-2411|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
Northeast Regional Office| 137970|801-65868|COLONY INVESTMENT MANAGEMENT, LLC|COLONY INVESTMENT MANAGEMENT, LLC|660 MADISON AVENUE|SUITE 1615|NEW YORK NY 10021|USA|||  ||STEPHEN 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
Northeast Regional Office| 137972|801-65617|SCIENS HEDGE MANAGEMENT LLC|SCIENS HEDGE FUND MANAGEMENT LLC|667 MADISON AVENUE||NEW YORK NY 10021|USA|||  ||CHRISTOPHER P. MEYERING|212-471-6100|Limited Liability Company|Other|APPROVED|01/27/2006|0|0|0|0|0|0
Northeast Regional Office| 137974|801-65279|AJB CAPITAL MANAGEMENT LP|AJB CAPITAL MANAGEMENT LP|400 MADISON AVENUE|10TH FLOOR|NEW YORK NY 10017|USA|||  ||PHILIP P. ROCHE|212-500-3022|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/23/2006|0|0|0|0|0|0
Northeast Regional Office| 137979|801-65808|DAEG ADMINISTRATIVE ADVISORS, LLC|DAEG ADMINISTRATIVE ADVISORS, LLC|100 PARK AVENUE, SUITE 2120||NEW YORK NY 10017-5516|USA|||  ||PATRICIA KIMELMAN|212-686-0021|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2006|0|2|0|0|0|0
Northeast 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|Other|APPROVED|01/27/2006|0|0|0|0|0|0
Northeast Regional Office| 137981|801-65295|RMF INVESTMENT MANAGEMENT (USA) CORP.|RMF INVESTMENT MANAGEMENT (USA) CORP.|717 FIFTH AVENUE|9TH FLOOR|NEW YORK NY 10022|USA|||  ||AIDA SAMARZIJA|(212) 589-6488|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
Northeast Regional Office| 137986|801-65184|GREEN RIVER MANAGEMENT I, L.L.C|GREEN RIVER MANAGEMENT I, L.L.C|712 FIFTH AVENUE|NINTH FLOOR|NEW YORK NY 10019|USA|||  ||GREG GRINBERG|212.521.5987|Limited Liability Company|Other|APPROVED|01/18/2006|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 137995|801-65562|VENOR CAPITAL MANAGEMENT, LP|VENOR CAPITAL MANAGEMENT, LP|TIMES SQUARE TOWER|7 TIMES SQUARE, SUITE 3505|NEW YORK NY 10036|USA|||  ||DAVID ZEMEL|212-703-2132|Partnership|Other|APPROVED|01/26/2006|0|0|0|0|0|0
Northeast Regional Office| 137996|801-64907|ALERIAN CAPITAL MANAGEMENT LLC|ALERIAN CAPITAL MANAGEMENT LLC|45 ROCKEFELLER PLAZA, SUITE 2000||NEW YORK NY 10111|USA|||  ||DANIEL HAMMOND|212 332-7805|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
Northeast Regional Office| 138002|801-65648|CONUS PARTNERS, INC.|CONUS PARTNERS, INC.|50 ROCKEFELLER PLAZA|2ND FLOOR|NEW YORK NY 10020|USA|||  ||RACHEL ROBERGE|212-332-7291|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/25/2006|0|0|0|0|0|0
Northeast Regional Office| 138010|801-65948|SGAM NEWEDGE MANAGEMENT INC.|SGAM NEWEDGE MANAGEMENT INC.|1221 AVENUE OF THE AMERICAS||NEW YORK NY 10020|USA|||  ||IDA KASSA|212-278-5369|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/31/2006|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 138014|801-65157|LAURUS CAPITAL MANAGEMENT, LLC|LAURUS CAPITAL MANAGEMENT, LLC|825 THIRD AVENUE, 14TH FLOOR||NEW YORK NY 10022|USA|||  ||JASON BAN|212-541-5800 X216|Limited Liability Company|Other|APPROVED|01/10/2006|0|0|1|0|0|0
Northeast Regional Office| 138016|801-65810|E.V.R. ASSET MANAGEMENT LLC|E.V.R. ASSET MANAGEMENT LLC|100 QUENTIN ROOSEVELT BOULEVARD|SUITE 206|GARDEN CITY NY 11530|USA|||  ||SCOTT P. NARINS|516-357-1957|Limited Liability Company|Other|APPROVED|01/27/2006|0|0|0|0|0|0
Northeast Regional Office| 138023|801-65666|DIMAIO AHMAD CAPITAL LLC|DIMAIO AHMAD CAPITAL LLC|245 PARK AVENUE|44TH FLOOR|NEW YORK NY 10167|USA|||  ||DENNIS CRILLY|212 328 7914|Limited Liability Company|Other|APPROVED|01/25/2006|0|0|0|0|0|0
Northeast Regional Office| 138028|801-64960|OSPREY GROUP, INC.|OSPREY GROUP, INC.|250 E 54TH STREET, PENTHOUSE 1||NEW YORK NY 10022|USA|||  ||JULIE KNAUER|212-808-4800|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/29/2005|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 138032|801-65698|BASSWOOD CAPITAL MANAGEMENT, L.L.C.|BASSWOOD CAPITAL MANAGEMENT, L.L.C.|645 MADISON AVENUE|10TH FLOOR|NEW YORK NY 10022|USA|||  ||MARC SAMIT|212-521-9500|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
Northeast Regional Office| 138035|801-65320|SOUTHPOINT CAPITAL ADVISORS LP|SOUTHPOINT CAPITAL ADVISORS LP|623 FIFTH AVENUE|SUITE 2503|NEW YORK NY 10022|USA|||  ||ADAM P. NEMSER|212.692.6350|Partnership|Other|APPROVED|02/01/2006|0|0|0|0|0|0
Northeast Regional Office| 138036|801-65930|TELEMETRY INVESTMENTS, L.L.C.|TELEMETRY INVESTMENTS, L.L.C.|20 EXCHANGE PLACE|53RD FLOOR|NEW YORK NY 10005-3207|USA|||  ||JAMES A. PHILLIPS|212-425-9700|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/31/2006|0|0|0|0|0|0
Northeast Regional Office| 138038|801-65721|PARDUS CAPITAL MANAGEMENT L.P.|PARDUS CAPITAL MANAGEMENT L.P.|1001 AVENUE OF THE AMERICAS|SUITE 1100|NEW YORK NY 10018|USA|||  ||JOSEPH R. THORNTON|212.719.7551|Partnership|Other|APPROVED-120|01/23/2006|0|0|0|0|0|0
Northeast Regional Office| 138075|801-64927|HS MANAGEMENT LLC|HS MANAGEMENT LLC|650 FIFTH AVENUE||NEW YORK NY 10019|USA|||  ||MATTHEW HARMAN|212-259-5140|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/03/2006|0|0|0|0|0|0
Northeast Regional Office| 138078|801-65593|CAXTON HEALTHCARE TRADING GP LLC|CAXTON HEALTHCARE TRADING GP LLC|500 PARK AVENUE||NEW YORK NY 10022|USA|||  ||SCOTT B. BERNSTEIN|(212) 891-1100|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/2006|0|0|0|0|0|0
Northeast Regional Office| 138082|801-65372|CHEYNE CAPITAL LLC|CHEYNE CAPITAL LLC|153 EAST 57TH STREET, 20TH FLOOR||NEW YORK NY 10022|USA|||  ||CINDY CUFFARI|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
Northeast Regional Office| 138083|801-65631|TRG MANAGEMENT, LP|TRG MANAGEMENT, LP|280 PARK AVENUE|27TH FLOOR|NEW YORK NY 10017|USA|||  ||MICHAEL J. BESSEL|212-984-2968|Partnership|Other|APPROVED|01/25/2006|0|0|0|0|0|0
Northeast Regional Office| 138084|801-64966|BARINGTON COMPANIES ADVISORS LLC|BARINGTON COMPANIES ADVISORS LLC|888 SEVENTH AVENUE|17TH FLOOR|NEW YORK NY 10019|USA|||  ||CLARK D. RUIZ II|212-974-5714|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|12/13/2005|0|5|0|0|0|0
Northeast 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|Other|APPROVED|01/27/2006|0|0|0|0|0|0
Northeast Regional Office| 138106|801-64990|BALANCE ASSET MANAGEMENT, LLC|BALANCE ASSET MANAGEMENT, LLC|152 WEST 57TH STREET||NEW YORK NY 10019|USA|||  ||MARC LUONGO|(212) 974-3560|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|12/12/2005|0|0|0|0|0|0
Northeast Regional Office| 138121|801-65169|WINDOWMAKER, LLC|RALPH PARKS INVESTMENT GROUP, LLC|MEADOWGATE OFFICE PARK|101 SULLY'S TRAIL BLDG 10|PITTSFORD NY 14534|USA|||  ||STEPHEN J. PARIS|585-248-5700|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED-120|01/18/2006|0|0|0|0|0|0
Northeast Regional Office| 138126|801-65710|SOCRATIC FUND MANAGEMENT LP|SOCRATIC FUND MANAGEMENT LP|101 JFK PARKWAY|SUITE 310|SHORT HILLS NJ 07078|USA|||  ||PATRICK JOHN CARMODY|973 921 4712|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/10/2006|0|0|0|0|0|0
Northeast Regional Office| 138130|801-65501|LITMUS CAPITAL MANAGEMENT LLC|LITMUS CAPITAL MANAGEMENT LLC|787 SEVENTH AVENUE|9TH 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
Northeast 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|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
Northeast 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-120|11/29/2005|0|0|0|0|0|0
Northeast Regional Office| 138158|801-65309|MELDRUM ASSET MANAGEMENT LLC|MELDRUM ASSET MANAGEMENT LLC|570 LEXINGTON AVENUE|15TH FLOOR|NEW YORK NY 10022-6837|USA|||  ||PETER RUSSO|212-317-4815|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
Northeast Regional Office| 138163|801-65607|SPINNER ASSET MANAGEMENT, LLC|SPINNER ASSET MANAGEMENT, LLC|450 PARK AVENUE, 14TH FLOOR||NEW YORK NY 10022|USA|||  ||DAVID BARNETT|646-521-7505|Limited Liability Company|Other|APPROVED|02/01/2006|0|1|0|0|0|0
Northeast Regional Office| 138168|801-65778|MALLETTE CAPITAL MANAGEMENT INC.|MALLETTE CAPITAL MANAGEMENT INC.|800 THIRD AVENUE, 9TH FLOOR||NEW YORK NY 10022|USA|||  ||WINSTON LEE BLACK, III|212-300-2267|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/23/2006|0|0|0|0|0|0
Northeast Regional Office| 138175|801-66015|SANDLER O'NEILL ASSET MANAGEMENT, LLC|SANDLER O'NEILL ASSET MANAGEMENT, LLC|780 THIRD AVENUE|5TH FLOOR|NEW YORK NY 10017-2024|USA|||  ||JASON CRAIG|212-486-7300|Limited Liability Company|Other|APPROVED|01/31/2006|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 138197|801-65386|FRASER SULLIVAN INVESTMENT MANAGEMENT, LLC|FRASER SULLIVAN INVESTMENT MANAGEMENT, LLC|400 MADISON AVENUE, 9TH FLOOR||NEW YORK NY 10017|USA|||  ||JOHN W. FRASER|(212)339-5400|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2006|0|0|0|0|0|0
Northeast 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
Northeast 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-120|12/12/2005|0|0|0|0|0|0
Northeast Regional Office| 138214|801-65056|COBURN VENTURES, LLC|COBURN VENTURES, LLC|10 CHESTNUT STREET||PLEASANTVILLE NY 10570|USA|||  ||DAVID L. HARVWY|203-918-8323|Limited Liability Company|Publication of periodicals or newsletters, Other|APPROVED-120|01/05/2006|0|0|0|0|0|0
Northeast Regional Office| 138215|801-65672|GRANITE CAPITAL INTERNATIONAL GROUP, L.P.|GRANITE CAPITAL INTERNATIONAL GROUP, L.P.|126 EAST 56TH STREET|25TH FLOOR|NEW YORK NY 10022|USA|||  ||JONAS SIEGEL|212-407-3352|Partnership|Portfolio management for individuals and/or small businesses, Other|APPROVED|01/27/2006|0|0|0|0|0|0
Northeast Regional Office| 138220|801-65603|HELIOS PARTNERS FUND MANAGEMENT, LLC|HELIOS PARTNERS FUND MANAGEMENT, LLC|126 EAST 56TH STREET|15TH FLOOR|NEW YORK NY 10022|USA|||  ||DAVID HAUSLER|212-644-6024|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2006|0|0|0|0|0|0
Northeast Regional Office| 138231|801-65278|MARCH GLOBAL ASSOCIATES LLC|MARCH GLOBAL ASSOCIATES LLC|570 LEXINGTON AVENUE, 24TH FLOOR||NEW YORK NY 10022|USA|||  ||MICHAEL ANSOUR|212-813-1000|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/13/2006|0|0|0|0|0|0
Northeast Regional Office| 138248|801-65862|FOXHILL CAPITAL PARTNERS, LLC|FOXHILL CAPITAL PARTNERS, LLC|3 ARDSLEY COURT||PRINCETON JUNCTION NJ 08550|USA|||  ||NEIL WEINER|609-720-1700|Limited Liability Company|Other|APPROVED-120|01/30/2006|0|0|0|0|0|0
Northeast Regional Office| 138253|801-65480|LUXOR CAPITAL GROUP, LP|LUXOR CAPITAL GROUP, LP|767 FIFTH AVENUE|19TH FLOOR|NEW YORK NY 10153|USA|||  ||ELENA CIMADOR|212-763-8000|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/26/2006|0|0|0|0|0|0
Northeast Regional Office| 138260|801-65457|MORRIS ASSOCIATES LLC|MORRIS ASSOCIATES LLC|21 RIDGE ROAD||BRONXVILLE NY 10708|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
Northeast Regional Office| 138268|801-65353|MANE FUND MANAGEMENT, INC.|MANE FUND MANAGEMENT, INC.|10 EXCHANGE PLACE|26TH FLOOR|JERSEY CITY NJ 07302-3908|USA|||  ||RICHARD SARACINO|201-369-3019|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/19/2006|0|0|0|0|0|0
Northeast Regional Office| 138276|801-65010|STELLATION ASSET MANAGEMENT|STELLATION ASSET MANAGEMENT LLC|THE CHRYSLER BUILDING|405 LEXINGTON AVENUE 26TH FLOOR|NEW YORK NY 10174|USA|||  ||B. MARK RIDEN|(416) 574-5156|Limited Liability Company|Selection of other advisers, Other|APPROVED-120|12/12/2005|0|0|0|0|0|0
Northeast Regional Office| 138277|801-65914|ROCKER MANAGEMENT L.L.C.|ROCKER MANAGEMENT L.L.C.|374 MILLBURN AVENUE - SUITE 205- E||MILLBURN NJ 07041|USA|||  ||PHILIP RENNA|973-467-7600|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2006|0|0|0|0|0|0
Northeast Regional Office| 138279|801-65341|WILSON CAPITAL MANAGEMENT, LLC|WILSON CAPITAL MANAGEMENT, LLC|237 PARK AVENUE, SUITE 900||NEW YORK NY 10017|USA|||  ||THOMAS H. WILSON|212-692-6320|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/23/2006|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 138288|801-65670|SARAS CAPITAL MANAGEMENT, LLC|SARAS CAPITAL MANAGEMENT, LLC|10 ROCKEFELLER PLAZA|SUITE 820|NEW YORK NY 10020|USA|||  ||MARK TOBY|212.332.4750|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/25/2006|0|0|0|0|0|0
Northeast 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
Northeast 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
Northeast 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
Northeast Regional Office| 138305|801-65980|LANX MANAGEMENT, LLC|LANX MANAGEMENT, LLC|230 PARK AVENUE|SUITE 539|NEW YORK NY 10169|USA|||  ||MELISSA DANENBERG|212-207-9000|Limited Liability Company|Selection of other advisers|APPROVED|01/27/2006|0|0|0|0|0|0
Northeast Regional Office| 138306|801-65608|TIG ADVISORS LLC|TIG ADVISORS LLC|535 MADISON AVENUE|36TH FLOOR|NEW YORK NY 10022|USA|||  ||KATHY GLASS|212-396-8662|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/2006|0|0|0|0|0|0
Northeast 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|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
Northeast Regional Office| 138309|801-65521|BROWNSTONE ASSET MANAGEMENT, L.P.|BROWNSTONE ASSET MANAGEMENT, L.P.|633 THIRD AVENUE|27TH FLOOR|NEW YORK NY 10017|USA|||  ||OREN COHEN|212-867-8901|Other (specify)|Other|APPROVED|01/26/2006|0|0|0|0|0|0
Northeast Regional Office| 138314|801-65001|GROTON ASSET MANAGEMENT LLC|GROTON ASSET MANAGEMENT LLC|640 FIFTH AVENUE SUITE 1700||NEW YORK NY 10019|USA|||  ||JEREMY GRIFFITHS|(212) 430-1800|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|01/27/2006|0|0|0|0|0|0
Northeast Regional Office| 138316|801-65104|POLYGON CREDIT HOLDINGS LTD.|POLYGON CREDIT HOLDINGS LTD.|598 MADISON AVENUE|14TH FLOOR|NEW YORK NY 10022|UNITED STATES OF AMERICA|||  ||SEAN A. COTE|+44 (0) 207 901 8330|Other (specify)|Other|APPROVED|01/06/2006|0|0|0|0|0|0
Northeast Regional Office| 138317|801-65454|J.L. BERKOWITZ & CO., L.L.C.|J.L. BERKOWITZ & CO., L.L.C.|909 THIRD AVENUE|FLOOR 14|NEW YORK NY 10022|USA|||  ||PATRICIA SHEVLIN|212 940 0700|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/18/2006|0|0|0|0|0|0
Northeast Regional Office| 138318|801-66090|OCTAGON ASSET MANAGEMENT, LLC|OCTAGON ASSET MANAGEMENT, LLC|267 FIFTH AVENUE|SUITE 301|NEW YORK NY 10016-7503|USA|||  ||C. MEAD WELLES|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
Northeast 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
Northeast Regional Office| 138324|801-65916|CHAPWOOD CREDIT MANAGEMENT, LLC|CHAPWOOD CREDIT MANAGEMENT, LLC|10 BANK STREET, SUITE 670||WHITE PLAINS NY 10606|USA|||  ||RACHEL NEWMARK|914-406-7307|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|01/31/2006|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 138338|801-65027|MITTLEMAN INVESTMENT MANAGEMENT, LLC|MITTLEMAN INVESTMENT MANAGEMENT, LLC|575 MADISON AVENUE|10TH FLOOR|NEW YORK NY 10022|USA|||  ||JOSEPH C. CASCARELLI, ESQ.|609.791.7007|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED-120|12/16/2005|0|0|0|0|0|0
Northeast 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
Northeast 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
Northeast 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
Northeast Regional Office| 138369|801-65097|OSPREY GROUP ASSET MANAGEMENT, LLC|OSPREY GROUP ASSET MANAGEMENT, LLC|250 E 54TH STREET PENTHOUSE 1||NEW YORK NY 10022|USA|||  ||JULIE KNAUER|212-808-4800|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/03/2006|0|0|0|0|0|0
Northeast Regional Office| 138375|801-65524|ZPOINT ADVISORS LP|ZPOINT ADVISORS LP|3020 WESTCHESTER AVENUE, SUITE 309||PURCHASE NY 10577|USA|||  ||ALAN BLUESTINE|914 253 8353|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/2006|0|1|0|0|0|0
Northeast Regional Office| 138377|801-65749|1794 MANAGEMENT, L.P.|1794 MANAGEMENT, L.P.|767 FIFTH AVENUE, 17TH FLOOR||NEW YORK NY 10153|USA|||  ||OSCAR LEAL|212-651-0518|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/09/2006|0|0|0|0|0|0
Northeast Regional Office| 138387|801-65473|METROPOLITAN CAPITAL ADVISORS, L.P.|METROPOLITAN CAPITAL ADVISORS, L.P.|660 MADISON AVENUE, 20TH FLOOR||NEW YORK NY 10021|USA|||  ||SCOTT COHEN|(212) 486-8100|Partnership|Other|APPROVED|01/25/2006|0|1|0|0|0|0
Northeast Regional Office| 138389|801-65474|METROPOLITAN CAPITAL PARTNERS II, L.P.|METROPOLITAN CAPITAL PARTNERS II, L.P.|660 MADISON AVENUE, 20TH FLOOR||NEW YORK NY 10021|USA|||  ||SCOTT COHEN|212-486-8100|Partnership|Other|APPROVED|01/25/2006|0|1|0|0|0|0
Northeast Regional Office| 138390|801-65587|METROPOLITAN CAPITAL PARTNERS III, L.P.|METROPOLITAN CAPITAL PARTNERS III, L.P.|660 MADISON AVENUE, 20TH FLOOR||NEW YORK NY 10021|USA|||  ||SCOTT COHEN|(212) 486-8100|Partnership|Other|APPROVED|01/25/2006|0|1|0|0|0|0
Northeast Regional Office| 138391|801-66067|ELAZAR ADVISORS, LLC|ELAZAR ADVISORS, LLC|1270 AVENUE OF THE AMERICAS|SUITE 210|NEW YORK NY 10020|USA|||  ||BRIAN FOLEY|212-265-7003|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
Northeast 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
Northeast 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
Northeast Regional Office| 138404|801-65105|TROOB CAPITAL MANAGEMENT LLC|TROOB CAPITAL MANAGEMENT LLC|777 WESTCHESTER AVENUE|SUITE 203|WHITE PLAINS NY 10604|USA|||  ||DOUGLAS M. TROOB|914-694-5777|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/13/2006|0|0|0|0|0|0
Northeast Regional Office| 138405|801-65312|METACAPITAL MANAGEMENT, L.P.|METACAPITAL MANAGEMENT, L.P.|152 W. 57TH ST, 38TH FLOOR||NEW YORK NY 10019|USA|||  ||ANN SCHECHTER|212-300-0518|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/26/2006|0|0|0|0|0|0
Northeast Regional Office| 138415|801-65539|ARGUS MANAGEMENT, LLC|ARGUS MANAGEMENT, LLC|430 PARK AVENUE|14TH FLOOR|NEW YORK NY 10022|USA|||  ||DONALD J. SAVAGE|212-702-20OO|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/26/2006|0|0|0|0|0|0
Northeast Regional Office| 138422|801-65487|JEWEL INVESTMENTS, LLC|JEWEL INVESTMENTS, LLC|605 THIRD AVENUE|19TH FLOOR|NEW YORK NY 10158-3698|USA|||  ||NANCY J. MARTINEK|212-476-8525|Limited Liability Company|Other|APPROVED|01/23/2006|0|0|0|0|0|0
Northeast Regional Office| 138435|801-65899|BLUE ALTERNATIVE ASSET MANAGEMENT L.L.C.|BLUE ALTERNATIVE ASSET MANAGEMENT L.L.C.|420 LEXINGTON AVENUE|SUITE 2650|NEW YORK NY 10170|USA|||  ||GINA GIAQUINTO|212 916-7423|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
Northeast 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|212-906-9074|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/06/2006|0|0|0|0|0|0
Northeast Regional Office| 138438|801-65985|RX CAPITAL MANAGEMENT LP|RX CAPITAL MANAGEMENT LP|156 WEST 56TH STREET|24TH FLOOR|NEW YORK NY 10019|USA|||  ||DAVID BLOOM|212-484-2120|Partnership|Other|APPROVED|01/31/2006|0|0|0|0|0|0
Northeast Regional Office| 138439|801-65706|TITAN LEGACY FUND ADVISORS, LLC|TITAN LEGACY FUND ADVISORS, LLC|3 INTERNATIONAL DRIVE|SUITE 120|RYE BROOK NY 10573|USA|||  ||NICHOLAS CLAUDE COLABELLA|914-935-1167|Limited Liability Company|Other|APPROVED|01/27/2006|0|0|0|0|0|0
Northeast Regional Office| 138444|801-65390|WILFRID AUBREY LLC|WILFRID AUBREY LLC|29 WEST 19TH STREET|3RD FLOOR|NEW YORK NY 10011|USA|||  ||KATHRYN PAYNE BELLER|(212) 675-4907|Limited Liability Company|Other|APPROVED|01/23/2006|0|0|0|0|0|0
Northeast Regional Office| 138447|801-65757|DUNBAR CAPITAL INVESTORS, LLC|DUNBAR CAPITAL INVESTORS, LLC|405 LEXINGTON AVENUE|45TH FLOOR|NEW YORK NY 10174|USA|||  ||KATHRYN PAYNE BELLER|(212) 871-7100 X310|Limited Liability Company|Other|APPROVED|01/27/2006|0|0|0|0|0|0
Northeast Regional Office| 138449|801-65780|ANCHOR CAPITAL GROUP, LLC|ANCHOR CAPITAL GROUP, LLC|405 LEXINGTON AVENUE|26TH FLOOR|NEW YORK NY 10174|USA|||  ||W. MICHAEL SELL|212-907-6434|Limited Liability Company|Other|APPROVED|01/31/2006|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 138456|801-65205|ANDERSON, BRADLEY MATTHEW|ANDERSON, BRADLEY MATTHEW|605 THIRD AVE - 37TH FLOOR||NEW YORK NY 10158|USA|||  ||SHARON C. STEDFELD|(212) 476-8517|Sole Proprietorship|Other|APPROVED|01/30/2006|0|0|0|0|0|0
Northeast Regional Office| 138468|801-65275|ARCHEUS CAPITAL MANAGEMENT, LLC|ARCHEUS CAPITAL MANAGEMENT, LLC|360  MADISON AVENUE|FLOOR 10|NEW YORK NY 10017|USA|||  ||CHANDRA B. SINGH|212-485-2123|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/20/2006|0|0|0|0|0|0
Northeast Regional Office| 138469|801-65578|HIGHLAND FINANCIAL HOLDINGS GROUP, LLC|HIGHLAND FINANCIAL HOLDINGS GROUP, LLC|381 PARK AVENUE SOUTH,|SUITE 1609|NEW YORK NY 10016|USA|||  ||SUSAN V. LYNSKEY|212-679-5220|Limited Liability Company|Other|APPROVED|01/27/2006|0|0|0|0|0|0
Northeast Regional Office| 138473|801-65990|THE N.I.R. GROUP, LLC|THE N.I.R. GROUP, LLC|1044 NORTHERN BOULEVARD,|SUITE 302|ROSLYN NY 11576|USA|||  ||JONATHAN SCHECHTER|(516) 739-7110|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
Northeast Regional Office| 138475|801-65883|HULL CAPITAL MANAGEMENT LLC|HULL CAPITAL MANAGEMENT LLC|78 FOREST AVENUE||LOCUST VALLEY NY 11560|USA|||  ||LILLIE E. FENNER|516-609-2500|Limited Liability Company|Other|APPROVED|01/24/2006|0|0|0|0|0|0
Northeast Regional Office| 138479|801-65421|PENSTOCK PARTNERS, LLC|PENSTOCK PARTNERS, LLC|390 AMWELL ROAD|SUITE 330|HILLSBOROUGH NJ 08844|USA|||  ||KENT YOUNGBERG|908 281 6004|Limited Liability Company|Other|APPROVED|01/26/2006|0|0|0|0|0|0
Northeast 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|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/24/2006|0|0|0|0|0|0
Northeast Regional Office| 138482|801-65238|CENTRE COURT ASSET MANAGEMENT LLC|CENTRE COURT 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
Northeast Regional Office| 138500|801-65554|OKUMUS CAPITAL, LLC|OKUMUS CAPITAL, LLC|850 THIRD AVENUE|10TH FLOOR|NEW YORK NY 10022|USA|||  ||SHYAM K. SRINIVASAN|212-201-2650|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
Northeast 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
Northeast Regional Office| 138504|801-65952|SEVEN GLOBAL RESEARCH LLC|SEVEN GLOBAL RESEARCH LLC|237 PARK AVENUE|SUITE 800|NEW YORK NY 10017|USA|||  ||SAMI J. KARAM|212-692-7671|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/31/2006|0|0|0|0|0|0
Northeast Regional Office| 138511|801-65685|ISCHUS CAPITAL MANAGEMENT, LLC|ISCHUS CAPITAL MANAGEMENT, LLC|712 FIFTH AVENUE,10TH FLOOR||NEW YORK NY 10019|USA|||  ||DARSHAN V. PATEL|212-506-3806|Limited Liability Company|Other|APPROVED|01/27/2006|0|1|0|0|0|0
Northeast Regional Office| 138526|801-65437|NORTHSTAR CAPITAL FUNDS, LLC|NORTHSTAR CAPITAL FUNDS, LLC|599 LEXINGTON 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
Northeast Regional Office| 138528|801-65687|APIDOS CAPITAL MANAGEMENT, LLC|APIDOS CAPITAL MANAGEMENT, LLC|712 FIFTH AVENUE, 10TH FLOOR||NEW YORK NY 10019|USA|||  ||DARSHAN V. PATEL|212-506-3806|Limited Liability Company|Other|APPROVED|01/27/2006|0|1|0|0|0|0
Northeast Regional Office| 138529|801-65918|CHEYNE CAPITAL MANAGEMENT, LLC|CHEYNE CAPITAL MANAGEMENT, LLC|135 E. 57TH ST. 20TH FLOOR||NEW YORK NY 10022|USA|||  ||SUSAN LIEW|212-371-7599|Limited Liability Company|Other|APPROVED|01/31/2006|0|0|0|0|0|0
Northeast Regional Office| 138533|801-66203|GAGNON ADVISORS LLC|GAGNON ADVISORS LLC|1370 6TH AVENUE|24TH FL|NEW YORK NY 10019|USA|||  ||SUSAN GRANT|212-554-5050|Limited Liability Company|Other|APPROVED|01/30/2006|0|0|0|0|0|0
Northeast Regional Office| 138534|801-65600|PAR IV CAPITAL MANAGEMENT, L.L.C.|PAR IV CAPITAL 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
Northeast Regional Office| 138536|801-66352|MAK CAPITAL ONE L.L.C.|MAK CAPITAL ONE L.L.C.|590 MADISON AVENUE|9TH FLOOR|NEW YORK NY 10022|USA|||  ||DENNIS PARK|212-486-3212|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/03/2006|0|0|0|0|0|0
Northeast 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|||  ||SAMER N. ABUAKER|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
Northeast Regional Office| 138540|801-65671|SPRINGBOK CAPITAL MANAGEMENT, LLC|SPRINGBOK CAPITAL MANAGEMENT, LLC|650 FIFTH AVENUE|6TH FLOOR|NEW YORK NY 10019|USA|||  ||TREVOR E. COHEN|212-259-5117|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
Northeast Regional Office| 138541|801-65368|BRENNER WEST CAPITAL ADVISORS, LLC|BRENNER WEST CAPITAL ADVISORS, LLC|888 SEVENTH AVENUE|29TH FLOOR|NEW YORK NY 10019|USA|||  ||BRAD SAKARIA|212-401-4108|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/23/2006|0|0|0|0|0|0
Northeast Regional Office| 138548|801-65674|LAURION CAPITAL MANAGEMENT LP|LAURION CAPITAL MANAGEMENT LP|7 TIMES SQUARE|SUITE 2505|NEW YORK NY 10036|USA|||  ||DAVID CONNOLLY|212-938-6300|Partnership|Other|APPROVED|01/30/2006|0|0|0|0|0|0
Northeast Regional Office| 138564|801-65356|ALPHADYNE ASSET MANAGEMENT, LLC|ALPHADYNE ASSET MANAGEMENT, LLC|17 STATE STREET, 20TH FLOOR||NEW YORK CITY NY 10004-1509|USA|||  ||MICHAEL POLO|(212) 806-3730|Limited Liability Company|Other|APPROVED-120|01/23/2006|0|0|0|0|0|0
Northeast Regional Office| 138567|801-65592|SIERRA GLOBAL MANAGEMENT, L.L.C.|SIERRA GLOBAL MANAGEMENT, L.L.C.|126 EAST 56TH STREET, 18TH FLOOR||NEW YORK NY 10022-3613|USA|||  ||CRAIG JOHN PERETZ|212-207-3234|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/26/2006|0|0|0|0|0|0
Northeast Regional Office| 138569|801-66351|KORE CAPITAL L.L.C.|KORE CAPITAL L.L.C.|590 MADISON AVENUE|9TH FLOOR|NEW YORK NY 10022|USA|||  ||HEATHER GARSON|203-861-8405|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/27/2006|0|0|0|0|0|0
Northeast 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|||  ||CHRISTOPHER L. O'DELL|212-762-7829|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/26/2006|0|0|1|0|0|0
Northeast 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|||  ||PETER M. RUP|212-838-9000|Limited Liability Company|Selection of other advisers|APPROVED|01/30/2006|0|0|0|0|0|0
Northeast Regional Office| 138605|801-66011|INTREPID CAPITAL ADVISORS, LLC|INTREPID CAPITAL ADVISORS, LLC|360 MADISON AVENUE|21ST FLOOR|NEW YORK NY 10017|USA|||  ||MATTHEW ZWEIG|914-921-4964|Limited Liability Company|Other|APPROVED|01/27/2006|0|0|0|0|0|0
Northeast 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|APPROVED-120|01/23/2006|0|0|0|0|0|0
Northeast 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-120|01/23/2006|0|0|0|0|0|0
Northeast Regional Office| 138613|801-65306|CRITICAL MATH ADVISORS LLC|CRITICAL MATH ADVISORS LLC|182 TAMARACK CIRCLE||SKILLMAN NJ 08558|USA|||  ||DEREK BILCIK|609-497-1414|Limited Liability Company|Portfolio management for investment companies|APPROVED|01/23/2006|0|0|0|0|0|0
Northeast Regional Office| 138614|801-66010|INTREPID FUND MANAGEMENT, LLC|INTREPID FUND MANAGEMENT, LLC|360 MADISON AVENUE - 21ST FLOOR||NEW YORK NY 10017|USA|||  ||MATTHEW ZWEIG|914-921-4964|Limited Liability Company|Other|APPROVED|01/27/2006|0|0|0|0|0|0
Northeast Regional Office| 138620|801-65505|OWENOKE MANAGEMENT, LLC|OWENOKE MANAGEMENT, LLC|150 E. 58TH STREET, 21ST FLOOR||NEW YORK NY 10155|USA|||  ||CELPHON CHAN|212 223-4885|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/23/2006|0|0|0|0|0|0
Northeast Regional Office| 138621|801-65976|BROOKVILLE CAPITAL MANAGEMENT, LP|BROOKVILLE CAPITAL MANAGEMENT, LP|470 PARK AVENUE SOUTH|SUITE 1700|NEW YORK NY 10016|USA|||  ||DAVID REISS|212-679-5427|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/23/2006|0|0|0|0|0|0
Northeast Regional Office| 138624|801-65775|MIDWAY MANAGEMENT PARTNERS, LLC|MIDWAY MANAGEMENT PARTNERS, LLC|ONE EAST 52ND STREET|SIXTH FLOOR|NEW YORK NY 10022|USA|||  ||ANTONIA KOLEVA|212-888-2224|Limited Liability Company|Other|APPROVED|02/24/2006|0|0|0|0|0|0
Northeast Regional Office| 138625|801-65743|BAM CAPITAL, LLC|BAM CAPITAL, LLC|237 PARK AVENUE|9TH FLOOR|NEW YORK NY 10017|USA|||  ||SETH MORRIS|212-692-6340|Limited Liability Company|Other|APPROVED|01/26/2006|0|0|0|0|0|0
Northeast Regional Office| 138632|801-65236|APACHE CAPITAL MANAGEMENT LLC|APACHE CAPITAL MANAGEMENT LLC|230 PARK AVENUE|SUITE 552|NEW YORK NY 10019-0020|USA|||  ||PHILIPPE C. BURKE|212 972 0991|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/27/2006|0|0|0|0|0|0
Northeast Regional Office| 138640|801-65428|FREESTYLE FUND SERVICES COMPANY LLC|FREESTYLE FUND SERVICES COMPANY LLC|C/O GH VENTURE PARTNERS|712 FIFTH AVENUE, 11TH FLOOR|NEW YORK NY 10019|USA|||  ||ADRIAN MACKAY|212-713-1888 EXT. 133|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/24/2006|0|0|0|0|0|0
Northeast Regional Office| 138647|801-65106|TROOB CAPITAL MANAGEMENT ( OFFSHORE) LLC|TROOB CAPITAL MANAGEMENT ( OFFSHORE) LLC|777 WESTCHESTER AVENUE|SUITE 203|WHITE PLAINS NY 10604|USA|||  ||DOUGLAS M. TROOB|914-694-5777|Limited Liability Company|Other|APPROVED|01/13/2006|0|0|0|0|0|0
Northeast Regional Office| 138649|801-65408|93RD STREET CAPITAL MANAGEMENT, LLC|93RD STREET CAPITAL MANAGEMENT, LLC|520 MADISON AVENUE|27TH FLOOR|NEW YORK NY 10022-4213|USA|||  ||GARY H. NEEMS|212-893-6982|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|01/24/2006|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 138658|801-65819|SCOUT CAPITAL MANAGEMENT, LLC.|SCOUT CAPITAL MANAGEMENT, LLC.|640 FIFTH AVENUE  22ND FLOOR||NEW YORK NY 10019||||  ||RITA PATEL|212-622-7849|Limited Liability Company|Other|APPROVED|01/27/2006|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 138663|801-65776|THE MIDWAY GROUP, LP|THE MIDWAY GROUP, LP|33 WHITEHALL STREET|22ND FLOOR|NEW YORK NY 10004|USA|||  ||OMAR QAISER|212-509-0946|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/27/2006|0|0|0|0|0|0
Northeast Regional Office| 138664|801-65605|ZANDER CAPITAL MANAGEMENT, LLC|ZANDER CAPITAL MANAGEMENT, LLC|CARNEGIE HALL TOWER|152 WEST 57TH STREET, 9TH FLOOR|NEW YORK NY 10019|USA|||  ||KRISTINA GILLAN|212.581.0243|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
Northeast Regional Office| 138677|801-65448|SANNO POINT CAPITAL MANAGEMENT LLC|SANNO POINT CAPITAL MANAGEMENT LLC|623 FIFTH AVE 16TH FLOOR|SUITE A|NEW YORK NY 10022|USA|||  ||DOUGLAS SPIEGEL|(212) 588-7137|Limited Liability Company|Other|APPROVED|01/24/2006|0|0|0|0|0|0
Northeast Regional Office| 138681|801-65347|TRUE NORTH PARTNERS LLC|TRUE NORTH PARTNERS LLC|2 EXECUTIVE BOULEVARD, SUITE 308||SUFFERN NY 10901-4164|USA|||  ||STEVEN W. BENGYAK|845-369-9582|Limited Liability Company|Portfolio management for investment companies|APPROVED-120|01/31/2006|0|0|0|0|0|0
Northeast Regional Office| 138683|801-66137|IZARA CAPITAL MANAGEMENT, LLC|IZARA CAPITAL MANAGEMENT, LLC|747 THIRD AVENUE|10TH FLOOR|NEW YORK NY 10017|USA|||  ||ARTHUR J. BROWN|212-702-7230|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|01/26/2006|0|0|0|0|0|0
Northeast Regional Office| 138686|801-65354|LATIGO PARTNERS, L.P.|LATIGO PARTNERS, L.P.|590 MADISON AVENUE 9TH FLOOR||NEW YORK NY 10022|USA|||  ||STEPHEN J. BLAUNER|212-754-1618|Partnership|Other|APPROVED|01/26/2006|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 138694|801-65371|SAGUENAY CAPITAL, LLC|SAGUENAY CAPITAL, LLC|2 MAHATTANVILLE RD.|SUITE 403|PURCHASE NY 10577-2113|USA|||  ||JOHN L. MURPHY|914-729-2415|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
Northeast Regional Office| 138697|801-65905|SHERIDAN CAPITAL ADVISORS, LLC|SHERIDAN CAPITAL ADVISORS, LLC|1025 WESTCHESTER AVENUE|SUITE 311|WHITE PLAINS NY 10604-3536|USA|||  ||JEFFREY B. MARRON|914-285-0070|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
Northeast 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
Northeast 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
Northeast Regional Office| 138715|801-65669|GREYWOLF CAPITAL MANAGEMENT LP|GREYWOLF CAPITAL MANAGEMENT LP|4 MANHATTANVILLE ROAD|SUITE 201|PURCHASE NY 10577-2119|USA|||  ||MICHELLE LYND|914-249-7880|Other (specify)|Other|APPROVED|01/27/2006|0|0|0|0|0|0
Northeast Regional Office| 138717|801-65790|PHOENIX INVESTMENT ADVISER LLC|PHOENIX INVESTMENT ADVISER LLC|620 FIFTH AVENUE|SUITE 201|NEW YORK NY 10020-2457|USA|||  ||JEFFREY PESKIND|212-632-8430|Limited Liability Company|Other|APPROVED|01/24/2006|0|0|0|0|0|0
Northeast Regional Office| 138721|801-65515|GLENROCK INC.|GLENROCK INC.|623 FIFTH AVE.|25TH FLOOR, SUITE 3101|NEW YORK NY 10022|USA|||  ||GLENN GANS|212-808-7387|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/26/2006|0|0|0|0|0|0
Northeast Regional Office| 138722|801-65398|EIDESIS STRUCTURED CREDIT FUND GP, LLC|EIDESIS STRUCTURED CREDIT FUND GP, LLC|500 FIFTH AVENUE 56TH FLOOR||NEW YORK NY 10110|USA|||  ||GREGORY SONIS|646-254-7050|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/24/2006|0|0|0|0|0|0
Northeast Regional Office| 138724|801-65400|EIDESIS OFFSHORE MANAGEMENT, LLC|EIDESIS OFFSHORE MANAGEMENT, LLC|500 FIFTH AVE|56TH FLOOR|NEW YORK NY 10110|USA|||  ||GREGORY SONIS|646-254-7050|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/24/2006|0|0|0|0|0|0
Northeast Regional Office| 138726|801-65440|AMERICUS CAPITAL ADVISORS, LLC|AMERICUS CAPITAL ADVISORS, LLC|660 MADISON AVENUE|21ST FLOOR|NEW YORK NY 10021|USA|||  ||PAUL J. REIFERSON|212-867-9766|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|01/24/2006|0|0|0|0|0|0
Northeast Regional Office| 138730|801-65628|LOGOS CAPITAL MANAGEMENT, LLC|LOGOS CAPITAL MANAGEMENT, LLC|650 FIFTH AVENUE, 5TH FLOOR||NEW YORK NY 10019|USA|||  ||PETER G. SASAKI|(212) 259-2622|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
Northeast 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
Northeast Regional Office| 138740|801-65936|ARIS CAPITAL MANAGEMENT, LLC|ARIS CAPITAL MANAGEMENT, LLC|400 MADISON AVENUE|11TH FLOOR|NEW YORK NY 10017|USA|||  ||APOSTOLOS PERISTERIS|212-310-0109|Limited Liability Company|Other|APPROVED|01/24/2006|0|0|0|0|0|0
Northeast Regional Office| 138742|801-66069|DICKSTEIN PARTNERS INC.|DICKSTEIN PARTNERS INC.|660 MADISON AVENUE, 16TH FLOOR||NEW YORK NY 10021|USA|||  ||LEIGH WAXMAN|212-754-4000|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2006|0|0|1|0|0|0
Northeast Regional Office| 138743|801-65649|TREMBLANT CAPITAL GROUP|TREMBLANT CAPITAL LP|712 FIFTH AVENUE|43RD FLOOR|NEW YORK NY 10019|USA|||  ||DAVID B. ZALES, ESQ.|212-303-7361|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2006|0|0|0|0|0|0
Northeast 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|APPROVED|03/08/2006|0|0|0|0|0|0
Northeast Regional Office| 138758|801-65767|EVERCORE ADVISORS, LLC|EVERCORE ADVISORS, LLC|55 EAST 52ND STREET||NEW YORK NY 10055|USA|||  ||DAVID E. WEZDENKO|212-857-3100|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/26/2006|0|0|0|0|0|0
Northeast Regional Office| 138765|801-66064|CARE CAPITAL GROUP|COMVEST ABSOLUTE RETURN PARTNERS LLC|830 THIRD AVENUE|8TH FLOOR|NEW YORK NY 10022|USA|||  ||ROBIN MOKHTAR|212-829-5837|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2006|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 138792|801-66033|ARKLOW CAPITAL, LLC|ARKLOW CAPITAL, LLC|237 PARK AVENUE, SUITE 900||NEW YORK NY 10017|USA|||  ||GREGORY SHROCK|212-808-3789|Limited Liability Company|Other|APPROVED|01/23/2006|0|0|0|0|0|0
Northeast Regional Office| 138795|801-65822|VOLOSHIN CAPITAL ADVISORS LLC|VOLOSHIN CAPITAL ADVISORS LLC|950 THIRD AVENUE, 27TH FLOOR, MFI SUITE||NEW YORK NY 10022|USA|||  ||SAM VOLOSHIN|646 286-0763|Limited Liability Company|Other|APPROVED|01/27/2006|0|0|0|0|0|0
Northeast Regional Office| 138802|801-65571|ORE HILL PARTNERS LLC|ORE HILL PARTNERS LLC|650 FIFTH AVENUE|9TH FLOOR|NEW YORK NY 10019|USA|||  ||MARK SULLIVAN|212-389-2333|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/20/2006|0|0|0|0|0|0
Northeast Regional Office| 138815|801-65787|SAB CAPITAL MANAGEMENT|SAB CAPITAL MANAGEMENT, L.P.|712 FIFTH AVENUE, 42ND FLOOR||NEW YORK NY 10019|USA|||  ||JENNIFER MARRE|(212) 457-8066|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2006|0|0|0|0|0|0
Northeast Regional Office| 138816|801-65379|GALILEO ASSET MANAGEMENT LLC|GALILEO ASSET MANAGEMENT LLC|570 LEXINGTON AVENUE, 24TH FLOOR||NEW YORK NY 10022|USA|||  ||MARIO KRANJAC|(212) 784-2404|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|0|0|0|0|0
Northeast 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
Northeast Regional Office| 138821|801-65904|MOSAIC CAPITAL ADVISORS, LLC|MOSAIC CAPITAL ADVISORS, LLC|545 FIFTH AVENUE|SUITE 709|NEW YORK NY 10017|USA|||  ||AJAY SEKHAND|212 922 1299|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|01/26/2006|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 138828|801-65239|PERCH BAY GROUP LLC|PERCH BAY GROUP LLC|420 LEXINGTON AVENUE|SUITE 300|NEW YORK NY 10170|USA|||  ||CURTIS F. BROCKELMAN|212-297-6113|Limited Liability Company|Portfolio 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|01/26/2006|0|0|0|0|0|0
Northeast Regional Office| 138832|801-65788|FEIRSTEIN CAPITAL MANAGEMENT CORP.|FEIRSTEIN CAPITAL MANAGEMENT CORP.|540 MADISON AVENUE, 15TH FLOOR||NEW YORK NY 10022|USA|||  ||JENNIFER LAW|646-521-8300|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/30/2006|0|0|0|0|0|0
Northeast Regional Office| 138838|801-65167|PARA ADVISORS LLC|PARA ADVISORS LLC|520 MADISON AVE 8TH FLOOR||NEW YORK NY 10022|USA|||  ||DAVID BRAIL|212-527-7351|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/13/2006|0|1|0|0|0|0
Northeast Regional Office| 138844|801-66213|FERTILEMIND CAPITAL|FERTILEMIND MANAGEMENT, LLC|48 WALL STREET, 11TH FLOOR||NEW YORK NY 10005|USA|||  ||ARAM FUCHS|212-918-4504|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
Northeast Regional Office| 138849|801-65604|DUMA CAPITAL PARTNERS, L.P.|DUMA CAPITAL PARTNERS, L.P.|1370 AVENUE OF THE AMERICAS|23RD FLOOR|NEW YORK NY 10019|USA|||  ||SANGYEUP LEE|212.918.1731|Other (specify)|Other|APPROVED|01/27/2006|0|0|0|0|0|0
Northeast Regional Office| 138850|801-66051|PERFORMANCE CAPITAL, LLC|PERFORMANCE CAPITAL, LLC|767 THIRD AVENUE|16TH FLOOR|NEW YORK NY 10017|USA|||  ||BRANDEN MUHL|212- 593-4538|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
Northeast Regional Office| 138856|801-65659|ROSEMOUNT CAPITAL MANAGEMENT, LLC|ROSEMOUNT CAPITAL MANAGEMENT, LLC|45 ROCKEFELLER PLAZA|SUITE 1701|NEW YORK NY 10111|USA|||  ||DAVID LEFKOVITS|212-895-0211|Limited Liability Company|Other|APPROVED-120|01/26/2006|0|0|0|0|0|0
Northeast Regional Office| 138857|801-66047|PECONIC MANAGEMENT CO., INC.|PECONIC MANAGEMENT CO., INC.|100 MCLAIN STREET||BEDFORD CORNERS NY 10549|USA|P.O. BOX 302||MT. KISCO NY 10549|USA|RODNEY HATCH|914-241-7865|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
Northeast Regional Office| 138859|801-65720|WESLEY CAPITAL MANAGEMENT, LLC|WESLEY CAPITAL MANAGEMENT, LLC|535 MADISON AVENUE, 26TH FLOOR||NEW YORK NY 10022|USA|||  ||VINCENT MARCHISELLA|212-421-2852|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/2006|0|0|0|0|0|0
Northeast 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
Northeast 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-120|01/27/2006|0|0|0|0|0|0
Northeast Regional Office| 138884|801-65590|CLAREN ROAD ASSET MANAGEMENT, LLC|CLAREN ROAD ASSET MANAGEMENT, LLC|900 THIRD AVENUE|SUITE 1401|NEW YORK NY 10022|USA|||  ||KEN WEILLER|212-310-5820|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|01/27/2006|0|0|0|0|0|0
Northeast 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
Northeast 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
Northeast Regional Office| 138902|801-65812|CARLIN ASSET MANAGEMENT, LLC|CARLIN ASSET MANAGEMENT, LLC|666 THIRD AVENUE|8TH FLOOR|NEW YORK NY 10017|USA|||  ||CHRISTIAN PARK|212-905-5750|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), Pension consulting services, Selection of other advisers|APPROVED-120|02/21/2006|0|0|0|0|0|0
Northeast Regional Office| 138905|801-65570|BREVAN HOWARD US ASSET MANAGEMENT LP|BREVAN HOWARD US ASSET MANAGEMENT LP|SUITE 9A, 9TH FLOOR,|590 MADISON AVENUE|NEW YORK NY 10022|USA|||  ||BRETT IRELAND|+44 1534 765360|Partnership|Other|APPROVED|02/06/2006|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 138918|801-65656|RESOLUTION PARTNERS LLC|RESOLUTION PARTNERS LLC|909 THIRD AVENUE|30TH FLOOR|NEW YORK NY 10022|USA|||  ||NIKLAS LAMOTTE|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
Northeast Regional Office| 138920|801-65683|EMERGING SOVEREIGN GROUP, LLC|EMERGING SOVEREIGN GROUP, LLC|101 PARK AVENUE, 48TH FLOOR||NEW YORK NY 10178|USA|||  ||MICHELLE DEA|212-984-5763|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/2006|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 138926|801-65902|BARINGTON OFFSHORE ADVISORS LLC|BARINGTON OFFSHORE ADVISORS LLC|888 SEVENTH AVENUE, 17TH FLOOR||NEW YORK NY 10019|USA|||  ||CLARK D. RUIZ II|212-974-5714|Limited Liability Company|Other|APPROVED|01/30/2006|0|5|0|0|0|0
Northeast Regional Office| 138930|801-65330|NEWBROOK CAPITAL ADVISORS LP|NEWBROOK CAPITAL ADVISORS LP|360 MADISON AVENUE|21ST FLOOR|NEW YORK NY 10017|USA|||  ||ALAN LIEBEL|646.918.6132|Partnership|Other|APPROVED-120|01/19/2006|0|0|0|0|0|0
Northeast Regional Office| 138934|801-66028|VISIUM ASSET MANAGEMENT, LLC|VISIUM ASSET MANAGEMENT, LLC|650 MADISON AVE|19TH FLOOR|NEW YORK NY 10022|USA|||  ||MARK GOTTLIEB|212-808-2351|Limited Liability Company|Other|APPROVED|02/01/2006|0|0|0|0|0|0
Northeast Regional Office| 138941|801-65396|GK CAPITAL, LLC|GK CAPITAL, LLC|910 SYLVAN AVENUE|SUITE 100|ENGLEWOOD CLIFFS NJ 07652|USA|||  ||MICHAEL GELBLAT|917.536.8835|Limited Liability Company|Other|APPROVED-120|01/30/2006|0|0|0|0|0|0
Northeast Regional Office| 138949|801-66043|WRA INVESTMENTS, LLC|WRA INVESTMENTS, LLC|101 PARK AVENUE|48TH FLOOR|NEW YORK NY 10178|USA|||  ||JUSTINE SCRANTON|(212) 984 2563|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/31/2006|0|0|0|0|0|0
Northeast Regional Office| 138951|801-65381|AT GLOBAL MANAGEMENT LP|AT GLOBAL MANAGEMENT LP|TWO GRAND CENTRAL TOWER|140 EAST 45TH STREET, 16TH FLOOR|NEW YORK NY 10017|USA|||  ||ANTHONY GLICKMAN|212-661-0474|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED-120|01/27/2006|0|0|0|0|0|0
Northeast Regional Office| 138958|801-65943|CONSTELLATION CAPITAL MANAGEMENT LLC|CONSTELLATION CAPITAL MANAGEMENT LLC|780 THIRD AVENUE|35TH FLOOR|NEW YORK NY 10017|USA|||  ||SUSAN ANDERSON|212-421-3700|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
Northeast Regional Office| 138960|801-65397|STONE HARBOR INVESTMENT PARTNERS LP|STONE HARBOR INVESTMENT PARTNERS LP|399 PARK AVENUE|4TH FLOOR|NEW YORK NY 10022|USA|||  ||ADAM SHAPIRO|212-559-7187|Other (specify)|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|01/26/2006|0|0|0|0|0|0
Northeast Regional Office| 138962|801-66190|K&C ADVISORS, LLC|K&C ADVISORS, LLC|745 QUEEN ANNE ROAD||TEANECK NJ 07666|USA|||  ||DANIEL A. BERNSTEIN|201-692-1988|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|01/27/2006|0|0|0|0|0|0
Northeast Regional Office| 138979|801-66198|RICHMOND CAPITAL MANAGEMENT LLC|RICHMOND CAPITAL MANAGEMENT LLC|950 THIRD AVENUE, 3RD FLOOR||NEW YORK NY 10022-2705|USA|||  ||DAPHNE STASCO|212 994 6200|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
Northeast 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-120|02/15/2006|0|1|0|0|0|0
Northeast Regional Office| 139001|801-65747|FALCONHENGE PARTNERS, LLC|FALCONHENGE PARTNERS, LLC|650 FIFTH AVENUE|6TH FLOOR|NEW YORK NY 10019|USA|||  ||THOMAS J. FERRARO|212-259-5181|Limited Liability Company|Other|APPROVED-120|01/26/2006|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 139006|801-65664|EVERCORE ASSET MANAGEMENT LLC|EVERCORE ASSET MANAGEMENT LLC|55 EAST 52ND STREET|43RD 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 businesses or institutional clients (other than investment companies)|APPROVED-120|01/26/2006|0|0|0|0|0|0
Northeast Regional Office| 139010|801-65731|LAGRANGE CAPITAL MANAGEMENT, L.L.C.|LAGRANGE CAPITAL MANAGEMENT, L.L.C.|1270 AVENUE OF THE AMERICAS, SUITE 2200||NEW YORK NY 10020|USA|||  ||FRANK LAGRANGE JOHNSON|212-218-5154|Limited Liability Company|Other|APPROVED|01/26/2006|0|0|0|0|0|0
Northeast 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 businesses or institutional clients (other than investment companies)|APPROVED|01/23/2006|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 139041|801-66023|PRECISION ASSET MANAGEMENT LLC|PRECISION ASSET MANAGEMENT LLC|1407 BROADWAY|SUITE 3803|NEW YORK NY 10018|USA|||  ||SOL PICCIOTTO|212-739-1441|Limited Liability Company|Other|APPROVED|01/27/2006|0|0|0|0|0|0
Northeast Regional Office| 139043|801-66031|BNS INVESTMENTS, LLC|BNS INVESTMENTS, LLC|660 MADISON AVENUE|14TH FLOOR|NEW YORK NY 10021|USA|||  ||CELINE MA|212.821.1804|Limited Liability Company|Portfolio management for individuals and/or small businesses, Other|APPROVED|01/23/2006|0|0|0|0|0|0
Northeast 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|||  ||FRANK GIORGIO|212-858-6053|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|02/24/2006|0|0|0|0|0|0
Northeast Regional Office| 139047|801-65935|BROMPTON CROSS CAPITAL ADVISERS, LLC|BROMPTON CROSS CAPITAL ADVISERS, LLC|780 THIRD AVENUE|45TH FLOOR|NEW YORK NY 10017|USA|||  ||EDWARD HARRISON|212-488-1661|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|01/24/2006|0|0|0|0|0|0
Northeast Regional Office| 139050|801-66309|MAK MANAGEMENT LP|MAK MANAGEMENT LP|590 MADISON AVENUE|9TH FLOOR|NEW YORK NY 10022|USA|||  ||DENNIS PARK|212-486-3212|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/24/2006|0|0|0|0|0|0
Northeast Regional Office| 139052|801-66050|ONYX CAPITAL MANAGEMENT, LLC|ONYX CAPITAL MANAGEMENT, LLC|WALL STREET PLAZA|88 PINE STREET 5TH FLR|NEW YORK NY 10005|USA|||  ||ANDREW ROYCE|212 798 5400|Limited Liability Company|Other|APPROVED|02/01/2006|0|1|0|0|0|0
Northeast Regional Office| 139076|801-65707|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-120|01/26/2006|0|0|0|0|0|0
Northeast Regional Office| 139081|801-65809|GARGOYLE SERVICES LLC|GARGOYLE SERVICES LLC|285 GRAND AVENUE, BUILDING 3, 2ND FLOOR||ENGLEWOOD NJ 07631|USA|||  ||JOSHUA B. PARKER|201-227-2205|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
Northeast Regional Office| 139082|801-66081|PETRA CAPITAL MANAGEMENT LLC|PETRA CAPITAL MANAGEMENT LLC|1370 AVENUE OF THE AMERICAS|23RD FLOOR|NEW YORK NY 10019|USA|||  ||KENNETH J. KORNBLAU|212 812-6179|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|02/01/2006|0|0|0|0|0|0
Northeast Regional Office| 139094|801-65959|WIC ADVISORS, LLC|WIC ADVISORS, LLC|650 FIFTH AVENUE, 6 FLOOR|C/O WATER ISLAND CAPITAL|NEW YORK NY 10019|USA|||  ||MATTHEW HEMBERGER|212-259-2656|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2006|0|0|0|0|0|0
Northeast 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
Northeast Regional Office| 139118|801-66052|SANDS POINT CAPITAL MANAGEMENT, LLC|SANDS POINT CAPITAL MANAGEMENT, LLC|230 PARK AVENUE, 7TH FLOOR||NEW YORK NY 10169|USA|||  ||JOHN NICHOLSON|212-622-7870|Limited Liability Company|Other|APPROVED|01/31/2006|0|0|0|0|0|0
Northeast Regional Office| 139122|801-66204|RAEBURN ADVISERS, LLC|RAEBURN ADVISERS, LLC|65 EAST 55TH STREET||NEW YORK NY 10022|USA|||  ||RAJ LACHMAN|212-323-8008|Limited Liability Company|Other|APPROVED-120|02/15/2006|0|0|0|0|0|0
Northeast Regional Office| 139132|801-66334|COTTON HALL ASSET MANAGEMENT, LLC|COTTON HALL ASSET MANAGEMENT, LLC|450 PARK AVENUE 3RD FLOOR||NEW YORK NY 10022|USA|||  ||JACOB BURGIDA|212-313-6705|Limited Liability Company|Other|APPROVED|03/09/2006|0|0|0|0|0|0
Northeast 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-120|01/27/2006|0|0|0|0|0|0
Northeast Regional Office| 139143|801-65917|MERRION INVESTMENT MANAGEMENT, LLC|MERRION INVESTMENT MANAGEMENT, 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
Northeast Regional Office| 139146|801-65893|LA GRANGE CAPITAL ADMINISTRATION, L.L.C.|LAGRANGE CAPITAL ADMINISTRATION|1270 AVENUE OF THE AMERICAS|STE 2200|NEW YORK NY 10020|USA|||  ||FRANK LAGRANGE JOHNSON|212-218-5154|Limited Liability Company|Other|APPROVED|01/27/2006|0|0|0|0|0|0
Northeast Regional Office| 139150|801-65924|SB SCHONFELD FUND ADVISORS LLC|SB SCHONFELD FUND ADVISORS LLC|650 MADISON AVE||NEW YORK NY 10022|USA|||  ||CARL GOLDBERG|(646) 735-9605|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/31/2006|0|2|0|0|0|0
Northeast Regional Office| 139186|801-65929|NEON LIBERTY CAPITAL MANAGEMENT, LLC|NEON LIBERTY CAPITAL MANAGEMET, LLC|230 PARK AVENUE|STE 865|NEW YORK NY 10169|USA|||  ||MARTA B. VAN DAM|212-983-1518|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/31/2006|0|2|0|0|0|0
Northeast Regional Office| 139194|801-66053|VOLOSHIN CAPITAL MANAGEMENT LTD|VOLOSHIN CAPITAL MANAGEMENT LTD|950 THIRD AVENUE, 27TH FLOOR|MFI SUITE|NEW YORK NY 10022|USA|||  ||SAM VOLOSHIN|646 286-0763|Corporation|Other|APPROVED|02/01/2006|0|0|0|0|0|0
Northeast Regional Office| 139200|801-66145|FORMULA CAPITAL MANAGEMENT LLC|FORMULA CAPITAL MANAGEMENT LLC|680 5TH AVENUE|9TH FLOOR|NEW YORK NY 10019|USA|||  ||DANIEL KELLY|212-931-5329|Limited Liability Company|Other|APPROVED|01/30/2006|0|0|0|0|0|0
Northeast Regional Office| 139223|801-66034|NORTHLIGHT FINANCIAL LLC|NORTHLIGHT FINANCIAL LLC|1330 AVENUE OF THE AMERICAS|40TH 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
Northeast Regional Office| 139232|801-66054|TRISUN ASSET MANAGEMENT, LLC|TRISUN ASSET MANAGEMENT, LLC|320 PARK AVE, 10TH FLOOR||NEW YORK NY 10022|USA|||  ||PATRICIA FALLON|212-415-7275|Limited Liability Company|Other|APPROVED|02/01/2006|0|0|0|0|0|0
Northeast Regional Office| 139239|801-66102|BRISCOE CAPITAL MANAGEMENT, LLC|BRISCOE CAPITAL MANAGEMENT, LLC|295 MADISON AVENUE, 31ST FLOOR||NEW YORK NY 10017|USA|||  ||GREGG BRESNER|212 894-2977|Limited Liability Company|Other|APPROVED|01/27/2006|0|0|0|0|0|0
Northeast Regional Office| 139253|801-66126|RT CAPITAL MANAGEMENT, LLC|RT CAPITAL MANAGEMENT, LLC|301 WEST 57TH STREET|SUITE 38-C|NEW YORK NY 10019|USA|||  ||KIMBERLY J. DAVIS SHAPIRO|212.586.4420 EXT 1|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/02/2006|0|0|0|0|0|0
Northeast Regional Office| 139257|801-66235|E.S.P. FINANCIAL GROUP, LLC|E.S.P. FINANCIAL GROUP, LLC|189 MONTAGUE STREET|SUITE 900|BROOKLYN NY 11201|USA|||  ||JENNIFER WILKOV|718-797-7600|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-120|02/17/2006|0|0|0|0|0|0
Northeast Regional Office| 139269|801-66036|CROWN ADVISORS INTERNATIONAL LTD.|CROWN ADVISORS INTERNATIONAL LTD.|60 EAST 42ND STREET|SUITE 3405|NEW YORK NY 10165|USA|||  ||DAGMAR BAEUERLE|212 808 5278 X4|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
Northeast 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 businesses or institutional clients (other than investment companies)|APPROVED|02/01/2006|0|0|0|0|0|0
Northeast 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|0|0|0|0|0|0
Northeast Regional Office| 139367|801-66141|SEQUENCE CAPITAL LLC|SEQUENCE CAPITAL LLC|527 MADISON AVENUE,|6TH FLOOR|NEW YORK NY 10022|USA|||  ||ANURAG SANYAL|212-419-3928|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
Northeast 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
Northeast 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 460||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-120|02/28/2006|0|0|0|0|0|0
Northeast Regional Office| 139405|801-66133|PLATINUM MANAGEMENT (NY) LLC|PLATINUM MANAGEMENT (NY) LLC|152 WEST 57TH STREET|54TH FL|NY NY 10019|USA|||  ||JOAN JANCZEWSKI|212-271-7828|Limited Liability Company|Other|APPROVED|02/01/2006|0|0|0|0|0|0
Northeast Regional Office| 139453|801-66169|ACUMO CAPITAL ADVISORS, LLC|ACUMO CAPITAL ADVISORS, LLC|420 E. 54TH STREET|SUITE 27J|NEW YORK NY 10022|USA|||  ||LAWRENCE H. MARGOLIS|212-430-3077|Limited Liability Company|Publication of periodicals or newsletters, Other|APPROVED-120|01/30/2006|0|0|0|0|0|0
Northeast Regional Office| 139454|801-66158|NORTH RIVER CAPITAL LLC|NORTH RIVER CAPITAL LLC|230 PARK AVENUE|SUITE 700|NEW YORK NY 10179|USA|||  ||EDWARD DAVIS|212-499-2538|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2006|0|0|0|0|0|0
Northeast Regional Office| 139456|801-66200|MORTON & JENNINGS ASSET MANAGEMENT INC.|MORTON & JENNINGS ASSET MANAGEMENT INC.|293 MINE BROOK ROAD||BERNARDSVILLE NJ 07924|USA|||  ||JAMES T. MORTON|908-204-1855|Corporation|Other|APPROVED|02/01/2006|0|0|0|0|0|0
Northeast Regional Office| 139540|801-66287|KYLIN MANAGEMENT LLC|KYLIN MANAGEMENT LLC|400 MADISON AVENUE, SUITE 6A||NEW YORK NY 10017|USA|||  ||PAUL GUGGENHEIMER|917-414-3518|Limited Liability Company|Other|APPROVED-120|02/23/2006|0|0|0|0|0|0
Northeast Regional Office| 139597|801-66234|SANDGRAIN ADVISORS INC.|SANDGRAIN ADVISORS INC.|1050 FRANKLIN AVENUE, SUITE 104||GARDEN CITY NY 11530|USA|||  ||PETER D. GRASSEL|516-741-0280|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
Northeast Regional Office| 139625|801-66246|NUVERSE OFFSHORE ADVISORS LLC|NUVERSE OFFSHORE ADVISORS LLC|645 FIFTH AVENUE||NEW YORK NY 10022|USA|||  ||STEPHEN J. SAALI|212-507-9120|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/17/2006|0|0|0|0|0|0
Northeast Regional Office| 139650|801-66311|NE ASIA CAPITAL MANAGEMENT, LLC|NE ASIA CAPITAL MANAGEMENT, LLC|400 KELBY STREET|18TH FLOOR|FORT LEE NJ 07024|USA|||  ||JAE W. OH|201-302-9770|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/24/2006|0|0|0|0|0|0
Northeast Regional Office| 139708|801-66326|STRUCTURED INVESTMENT MANAGEMENT|STRUCTURED INVESTMENT MANAGEMENT, LLC|245 PARK AVENUE, 39TH FLOOR||NEW YORK NY 10167|USA|||  ||RAMESH MENON|212-672-1980|Limited Liability Company|Portfolio management for investment companies|APPROVED|03/13/2006|0|0|0|0|0|0
Northeast Regional Office| 139958|801-66391|CARLSBAD CAPITAL MANAGEMENT, LLC|CARLSBAD CAPITAL MANAGEMENT, LLC|745 QUEEN ANNE ROAD||TEANECK NJ 07666|USA|||  ||DANIEL A. BERNSTEIN|201-692-1988|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|03/13/2006|0|0|0|0|0|0
Pacific Regional Office|    877|801-6358|WEDBUSH MORGAN SECURITIES INC.|WEDBUSH MORGAN SECURITIES INC.|ATTN: CHARLES HUANG-CHIEF COMPLIANCE OFFICER|1000 WILSHIRE BLVD. SUITE 900|LOS ANGELES CA 90017|USA|P. O. BOX 30014||LOS ANGELES CA 90030-0014||CHARLES HUANG|(213) 688-4329|Corporation|Financial planning services, 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|20|0|0|0|0
Pacific Regional Office|   3350|801-13067|MORTON SEIDEL & COMPANY, INC.|MORTON SEIDEL & COMPANY, INC.|8730 WILSHIRE BLVD. #530||BEVERLY HILLS CA 90211|USA|||  ||JOAN SEIDEL|310 360 7541|Corporation|Other|APPROVED|10/15/1961|0|0|0|0|0|0
Pacific Regional Office|   3600|801-56710|TRANSAMERICA FINANCIAL ADVISORS, INC.|TRANSAMERICA FINANCIAL ADVISORS, INC.|1150 S OLIVE ST|STE 25|LOS ANGELES CA 90015|USA|||  ||ANDRE' JOHNSON|213-742-3801|Corporation|Financial planning services, 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|0|20|0|0|0|0
Pacific 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
Pacific 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
Pacific Regional Office|   6609|801-15260|FIRST WILSHIRE SECURITIES MANAGEMENT, INC.|FIRST WILSHIRE SECURITIES MANAGEMENT, INC.|1224 EAST GREEN STREET|STE 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
Pacific Regional Office|   6864|801-55780|CAMERON MURPHY & SPANGLER INC|CAMERON, MURPHY & SPANGLER, INC.|170 SOUTH OAKLAND AVENUE||PASADENA CA 91101|USA|||  ||LACHLAN CAMERON|626-449-1323|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|08/14/1998|0|4|0|0|0|0
Pacific Regional Office|   6911|801-11646|STOLPER & CO., INC.|STOLPER & CO., INC.|600 W. BROADWAY|SUITE 1225|SAN DIEGO CA 92101-3355|USA|||  ||RACHEL ANDERSON|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
Pacific 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|Portfolio management for individuals and/or small businesses|APPROVED|05/29/1998|0|0|0|0|0|0
Pacific 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
Pacific 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
Pacific Regional Office|   8327|801-61738|M. L. STERN & CO, LLC.|M.L. STERN & CO., LLC.|8350 WILSHIRE BLVD||BEVERLY HILLS CA 90211|USA|||  ||JAMES D. PORTMAN|323-658-4400|Limited Liability Company|Selection of other advisers, Other|APPROVED|02/05/2003|0|10|0|0|0|0
Pacific 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, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/19/1994|0|2|1|0|0|0
Pacific 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|Portfolio management for individuals and/or small businesses, Other|APPROVED|06/27/1991|0|2|0|0|0|0
Pacific Regional Office|  12969|801-45849|ASSOCIATED SECURITIES CORP.|ASSOCIATED SECURITIES CORP.|5933 W CENTURY BLVD|9TH FLOOR|LOS ANGELES CA 90045|USA|||  ||MAUREEN MALONEY|(310) 670-0800|Corporation|Selection of other advisers|APPROVED|05/04/1994|1|0|0|0|0|0
Pacific 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
Pacific 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|DAVID HESS|619-308-9700|Corporation|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|11/29/1985|0|2|0|0|0|0
Pacific 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|47|1|0|0|0
Pacific Regional Office|  14458|801-66105|INVESTMENT PLACEMENT GROUP|INVESTMENT PLACEMENT GROUP|7724 GIRARD AVENUE, 2ND FLOOR||LA JOLLA CA 92037|USA|||  ||MARIA LUISA BOYD|858-459-2344|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
Pacific Regional Office|  14667|801-56948|BROOKSTREET CAPITAL MANAGEMENT|BROOKSTREET SECURITIES CORPORATION|2361 CAMPUS DRIVE|SUITE 210|IRVINE CA 92612|USA|||  ||STANLEY C. BROOKS|949-852-6800|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, Market timing services|APPROVED|11/01/1999|0|28|1|0|0|0
Pacific Regional Office|  14829|801-49374|FINANCIAL DESIGNS CORPORATION|FINANCIAL DESIGNS CORPORATION|540 W. BASELINE RD|#10|CLAREMONT CA 91711-5805|USA|||  ||RONALD A. 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
Pacific 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
Pacific Regional Office|  16668|801-57393|FINANCIAL WEST INVESTMENT GROUP, INC.|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
Pacific Regional Office|  18033|801-29011|ARMA FINANCIAL SERVICES, INC.|ARMA FINANCIAL SERVICES, INC.|8585 E. HARTFORD DRIVE|SUITE 118|SCOTTSDALE AZ 85255|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
Pacific 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
Pacific 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
Pacific 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|JULIE JANE GEBERT|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
Pacific 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
Pacific Regional Office|  22875|801-34756|CANTERBURY CONSULTING INCORPORATED|CANTERBURY CONSULTING INCORPORATED|660 NEWPORT CENTER DRIVE|SUITE 300|NEWPORT BEACH CA 92660-6404|USA|||  ||KENNETH P. KRUEGER|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), Other|APPROVED|09/07/1989|0|0|1|0|0|0
Pacific 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|1|11|0|0|0|0
Pacific Regional Office|  30172|801-41762|METROPOLITAN WEST SECURITIES, LLC|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
Pacific Regional Office|  30833|801-56882|CENTAURUS FINANCIAL, INC.|CENTAURUS FINANCIAL, INC.|333 CITY BLVD WEST|STE 2010|ORANGE CA 92868|USA|||  ||BLAKE BJORDAHL|714-456-1790|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|10/08/1999|0|2|0|0|0|0
Pacific Regional Office|  32444|801-47805|FIRST ALLIED SECURITIES, INC.|FIRST ALLIED SECURITIES, INC.|525 B ST, 17TH FLOOR||SAN DIEGO CA 92101-8114|USA|P.O. BOX 85549||SAN DIEGO CA 92138|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), Selection of other advisers|APPROVED|12/01/1994|0|51|5|0|0|0
Pacific Regional Office|  35098|801-64673|WESTERN FINANCIAL ADVISORS|WFP SECURITIES CORPORATION|6020 CORNERSTONE COURT W|SUITE 240|SAN DIEGO CA 92121|USA|||  ||JOHN SCHOOLER|858-677-0377|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|08/26/2005|0|0|0|0|0|0
Pacific 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
Pacific Regional Office|  39262|801-66101|WESTERN INTERNATIONAL SECURITIES|WESTERN INTERNATIONAL SECURITIES, INC.|70 SOUTH LAKE AVENUE|SUITE 700|PASADENA CA 91101|USA|||  ||CRAIG R. WATANABE|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, Market timing services|APPROVED|02/14/2006|0|4|0|0|0|0
Pacific 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, Pension consulting services, Selection of other advisers|APPROVED|05/31/2001|0|0|0|0|0|0
Pacific 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
Pacific 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, Other|APPROVED|07/08/1997|0|0|0|0|0|0
Pacific Regional Office|  43635|801-62510|SELEZNOV CAPITAL ADVISORS, LLC|SELEZNOV CAPITAL ADVISORS, LLC|8700 E. NORTHSIGHT BLVD.,|SUITE 150|SCOTTSDALE AZ 85260|USA|||  ||MARK SELEZNOV|480-948-1146|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, Market timing services, Other|APPROVED|11/13/2003|0|2|0|0|0|0
Pacific 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
Pacific Regional Office| 102420|801-60472|WESCORP INVESTMENT SERVICES, LLC|WESCORP INVESTMENT SERVICES, LLC|924 OVERLAND COURT||SAN DIMAS CA 91773|USA|||  ||RONALD S. ARAUJO|800-946-7378|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|08/10/2001|0|1|0|0|0|0
Pacific 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|||  ||SHLADOVSKY, DAVID|310-556-2721|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
Pacific 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
Pacific Regional Office| 104559|801-48187|PACIFIC INVESTMENT MANAGEMENT CO LLC|PACIFIC INVESTMENT MANAGEMENT CO LLC|840 NEWPORT CENTER DRIVE|SUITE 100|NEWPORT BEACH CA 92660|UNITED STATES|||  ||MOHAN VIJAY PHANSALKAR|(949) 720-6180|Limited Liability Company|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|11/14/1994|0|1|2|0|0|0
Pacific Regional Office| 104569|801-35186|MERCER ADVISORS|MERCER GLOBAL ADVISORS INC.|1801 E CABRILLO BLVD||SANTA BARBARA CA 93108|USA|||  ||BARTON, DAVE|480-588-9010|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Other|APPROVED|09/14/1989|1|0|0|0|0|0
Pacific 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|||  ||SCOTT B. DUBCHANSKY|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
Pacific 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
Pacific Regional Office| 104583|801-56940|BERNZOTT  CAPITAL ADVISORS|BERNZOTT CAPITAL ADVISORS|888 W. VENTURA BLVD., SUITE B||CAMARILLO CA 93010-8383|USA|||  ||BERNZOTT, KEVIN|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
Pacific 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
Pacific 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
Pacific 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
Pacific Regional Office| 104617|801-22755|HOKANSON CAPITAL MANAGEMENT, INC|HOKANSON CAPITAL MANAGEMENT, 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
Pacific Regional Office| 104621|801-17500|JOHNSON FINANCIAL ADVISORS|PHILIP O. JOHNSON & COMPANY, LTD.|2001 W. CAMELBACK RD.|SUITE 420|PHOENIX AZ 85015|USA|||  ||JOHNSON, PHILIP O.|602-242-4000|Corporation|Selection of other advisers, Publication of periodicals or newsletters, Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|08/19/1982|0|0|0|0|0|0
Pacific 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|0|0|0|0|0
Pacific 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|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|04/13/1990|0|0|0|0|0|0
Pacific Regional Office| 104677|801-19093|WEST COAST FINANCIAL|E. DAVID YOSSEM, INC|1525 STATE ST., STE 104||SANTA BARBARA CA 93101|USA|||  ||YOSSEM, EUGENE DAVID|805.962.9131|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/17/1983|0|0|0|0|0|0
Pacific Regional Office| 104695|801-10139|ELIOT FINKEL INVESTMENT COUNSEL, LLC|FINKEL ELIOT MICHELOW|8383 WILSHIRE BLVD, STE 656||BEVERLY HILLS CA 90211-2418|USA|||  ||FINKEL, ELIOT M|323-653-2070|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|08/28/1974|0|0|0|0|0|0
Pacific Regional Office| 104702|801-11916|WCM INVESTMENT MANAGEMENT|WCM INVESTMENT MANAGEMENT|23702 BIRTCHER DRIVE||LAKE FOREST CA 92630-1771|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
Pacific 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
Pacific 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|2|0|0|0|0
Pacific Regional Office| 104719|801-27828|PACIFIC INCOME ADVISERS INC|PACIFIC INCOME ADVISERS INC|1299 OCEAN AVE STE 210||SANTA MONICA CA 90401|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), Pension consulting services|APPROVED|09/04/1986|0|1|0|0|0|0
Pacific Regional Office| 104758|801-16074|FABIAN FINANCIAL SERVICES INC|FABIAN FINANCIAL SERVICES INC|3991 MACARTHUR BLVD., SUITE 400||NEWPORT BEACH CA 92660|USA|||  ||FOSTER, EDWARD H.|949-852-9800|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/29/1981|0|0|0|0|0|0
Pacific 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
Pacific Regional Office| 104760|801-20139|TOP FUND MANAGEMENT INC|TOP FUND MANAGEMENT INC|1819 S DOBSON RD STE 207||MESA AZ 85202|USA|||  ||ZISKIN, BARRY|480-897-6214|Corporation|Portfolio management for investment companies|APPROVED|12/28/1983|0|0|0|0|0|0
Pacific 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
Pacific Regional Office| 104779|801-11301|ZISKIN ASSET MANAGEMENT INC|ZISKIN ASSET MANAGEMENT INC|1819 S DOBSON RD STE 207||MESA AZ 85202|USA|||  ||ZISKIN, BARRY|480-897-6214|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
Pacific 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|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies|APPROVED|10/06/1988|0|0|0|0|0|0
Pacific Regional Office| 104789|801-15877|BG ASSOCIATES, INC|BG ASSOCIATES INC|5050 NORTH 40TH STREET #300||PHOENIX AZ 85018|USA|PO BOX 15667||PHOENIX AZ 85060|USA|HIDALGO, MARIA A|602-230-1331|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|03/16/1981|0|0|0|0|0|0
Pacific Regional Office| 104790|801-23837|ASSOCIATED PLANNERS INVESTMENT ADVISORY INC|ASSOCIATED PLANNERS INVESTMENT ADVISORY INC|5933 W CENTURY BLVD., 9TH FL||LOS ANGELES CA 90045|USA|||  ||DENISE EVANS|(310) 670-0800 X245|Corporation|Financial planning services, 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|0|0|0|0|0
Pacific Regional Office| 104795|801-35218|BLANKINSHIP & FOSTER|BLANKINSHIP & FOSTER|420 STEVENS AVENUE|SUITE 250|SOLANA BEACH CA 92075|USA|||  ||BLANKINSHIP JR., JOHN THOMAS|858.755.5166|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|07/01/1989|0|0|0|0|0|0
Pacific Regional Office| 104836|801-2800|STARBUCK TISDALE & ASSOCIATES|STARBUCK TISDALE & ASSOCIATES|111 W MICHELTORENA STREET|SUITE 210|SANTA BARBARA CA 93101|USA|||  ||CASADY, T. HOLLY|805-963-5963|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/19/1962|0|0|0|0|0|0
Pacific Regional Office| 104839|801-15482|CHARLESWORTH & RUGG INC|CHARLESWORTH & RUGG INC|20720 VENTURA BLVD STE 205||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
Pacific 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
Pacific Regional Office| 104876|801-30807|CULLEN FORTIER ASSET MANAGEMENT|FORTIER PAUL ANTHONY|2625 TOWNSGATE RD.|SUITE 330|WESTLAKE VILLAGE CA 91361|USA|||  ||FORTIER, PAUL ANTHONY|805 267-1234|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|11/05/1987|0|2|1|0|0|0
Pacific Regional Office| 104879|801-7069|MYERSON VAN DEN BERG & CO|MYERSON VAN DEN BERG & CO|3336 CAMPANIL DR||SANTA BARBARA CA 93109-1017|USA|||  ||MYERSON, RAYMOND K|(805) 687-1503|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|12/09/1970|0|0|0|0|0|0
Pacific Regional Office| 104889|801-10544|SSI INVESTMENT MANAGEMENT, INC|SSI INVESTMENT MANAGEMENT INC.|357 N CANON DR||BEVERLY HILLS CA 90210|USA|||  ||MEHDI, SYED FAZAL|310-275-5551|Corporation|Portfolio 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
Pacific 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
Pacific 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
Pacific Regional Office| 104963|801-7082|ANALYTIC INVESTORS INC|ANALYTIC INVESTORS INC|500 SOUTH GRAND AVENUE|23RD FLOOR|LOS ANGELES CA 90071|USA|||  ||AMY STUEVE|213.688.3015|Corporation|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
Pacific Regional Office| 104980|801-9166|JAMES F MAINO REGISTERED INVESTMENT COUNSELLOR|MAINO JAMES FREDERICK|1065 HIGUERA STREET, SUITE 202||SAN LUIS OBISPO CA 93401|USA|P.O. BOX 13460||SAN LUIS OBISPO CA 93406-3460|USA|LISA, ERIN  KILBURN-MAINO|805-543-3592|Sole Proprietorship|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
Pacific 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
Pacific 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
Pacific 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|||  ||AUTREY, CHARLES T|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
Pacific 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
Pacific Regional Office| 105047|801-25980|RASKOB KAMBOURIAN FINANCIAL ADVISORS LTD|RASKOB KAMBOURIAN FINANCIAL ADVISORS LTD|4100 N FIRST AVENUE||TUCSON AZ 85719|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|APPROVED|12/19/1985|0|0|0|0|0|0
Pacific Regional Office| 105070|801-10079|MET INVESTORS ADVISORY LLC|MET INVESTORS ADVISORY LLC|22 CORPORATE PLAZA DRIVE||NEWPORT BEACH CA 92660|USA|22 CORPORATE PLAZA DRIVE||NEWPORT BEACH CA 92660||PEARSON, RICHARD C|949 629-1317|Limited Liability Company|Portfolio management for investment companies|APPROVED|07/12/1974|0|6|0|0|0|0
Pacific 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
Pacific 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), Pension consulting services|APPROVED|10/01/1989|0|0|0|0|0|0
Pacific Regional Office| 105144|801-19899|WESTRIDGE CAPITAL MANAGEMENT INC|WESTRIDGE CAPITAL MANAGEMENT INC|222 E CARRILLO ST., STE 300||SANTA BARBARA CA 93101|USA|||  ||SNYDER, KRISTIN|(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
Pacific 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
Pacific Regional Office| 105158|801-11586|ENGEMANN ASSET MANAGEMENT|ENGEMANN ASSET MANAGEMENT|600 N. ROSEMEAD BLVD||PASADENA CA 91107-2101|USA|||  ||MITCHELL, TINA LOUISE|(626)351-6451|Corporation|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|06/24/1976|0|2|5|0|0|0
Pacific Regional Office| 105169|801-15057|PACIFIC LIFE INSURANCE CO|PACIFIC LIFE INSURANCE CO|700 NEWPORT CENTER DRIVE||NEWPORT BEACH CA 92660|USA|P.O. BOX 9000||NEWPORT BEACH CA 92658-9030|USA|SHARON A. CHEEVER|(949) 219-3852|Corporation|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
Pacific 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
Pacific 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, Pension consulting services|APPROVED|05/01/1984|0|0|0|0|0|0
Pacific Regional Office| 105400|801-31227|ALLIANZ GLOBAL INVESTORS OF AMERICA L.P.|ALLIANZ GLOBAL INVESTORS OF AMERICA L.P.|888 SAN CLEMENTE DRIVE|SUITE 100|NEWPORT BEACH CA 92660|USA|||  ||STEWART A. SMITH|(949) 219-2234|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|3|2|0|0|0
Pacific Regional Office| 105404|801-24896|BRANDES INVESTMENT PARTNERS, LP|BRANDES INVESTMENT PARTNERS, LP|11988 EL CAMINO REAL, SUITE 500||SAN DIEGO CA 92130|USA|||  ||IAN N. ROSE|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
Pacific 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
Pacific 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
Pacific 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|APPROVED|02/18/1988|0|1|1|0|0|0
Pacific 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|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|01/25/1980|0|0|0|0|0|0
Pacific Regional Office| 105494|801-30019|WALL STREET ASSOCIATES|WALL STREET ASSOCIATES|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|Corporation|Portfolio 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
Pacific Regional Office| 105499|801-19384|FLAHERTY & CRUMRINE INC|FLAHERTY & CRUMRINE INC|301 E COLORADO BLVD|SUITE 720|PASADENA CA 91101|USA|||  ||CRUMRINE, DONALD F.|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
Pacific Regional Office| 105507|801-13828|PATTERSON CAPITAL CORP|PATTERSON CAPITAL CORP|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
Pacific 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|APPROVED|10/13/1988|0|0|0|0|0|0
Pacific 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
Pacific 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
Pacific 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
Pacific Regional Office| 105585|801-28362|MICHAEL J. BERGQUIST FINANCIAL & ESTATE PLANNING|BERGQUIST MICHAEL JOHN|222 EAST ANAPAMU STREET|SUITE 25|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
Pacific 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
Pacific Regional Office| 105654|801-20778|BRADFORD & MARZEC, INC.|BRADFORD & MARZEC, INC.|333 SOUTH HOPE STREET|SUITE 4050|LOS ANGELES CA 90071|USA|||  ||EDWARD T. BRADFORD|213-687-9170|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/05/1984|0|0|0|0|0|0
Pacific Regional Office| 105682|801-35519|VALENZUELA CAPITAL PARTNERS LLC|VALENZUELA CAPITAL PARTNERS LLC|55 SOUTH LAKE AVE, SUITE 750||PASADENA CA 91101|USA|||  ||INZUNZA, FERNANDO|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
Pacific 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
Pacific 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
Pacific 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
Pacific Regional Office| 105742|801-6642|TCW ASSET MANAGEMENT CO|TCW ASSET MANAGEMENT CO|865 S FIGUEROA ST|STE 1800|LOS ANGELES CA 90017|USA|||  ||MICHELE DANTON|213-244-0542|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/12/1970|0|0|1|0|0|0
Pacific 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
Pacific 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
Pacific Regional Office| 105771|801-15864|GE PRIVATE ASSET MANAGEMENT, INC.|GE PRIVATE ASSET MANAGEMENT,INC.|16501 VENTURA BLVD.|SUITE 201|ENCINO CA 91436-2007|USA|P.O. BOX 57409||SHERMAN OAKS CA 91413|U.S.A.|PHILIP MCKINLEY|818-263-0009|Corporation|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|02/12/1981|2|0|0|0|0|0
Pacific Regional Office| 105877|801-31462|IRA S. COHEN INC|COHEN IRA STANLEY|4200 TRUXTUN AVE|SUITE 103|BAKERSFIELD CA 93309|USA|4200 TRUXTUN AVE STE 103||BAKERSFIELD, CA 93309|UNITED STATES|NUANEZ, TAMMY SUE|661-321-0341|Corporation|Financial planning services|APPROVED|02/12/1988|0|0|0|0|0|0
Pacific Regional Office| 105883|801-25846|OAK TREE ADVISORY SERVICES INC|OAK TREE ADVISORY SERVICES INC|701 PALOMAR AIRPORT ROAD|3RD FLOOR|CARLSBAD CA 92009|USA|P.O. BOX 4089||OCEANSIDE CA 92052|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|APPROVED|12/31/1985|0|0|0|0|0|0
Pacific 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
Pacific 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
Pacific 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
Pacific Regional Office| 105986|801-25709|PLANNED ASSET MANAGEMENT INC|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
Pacific Regional Office| 106008|801-38579|IVES ASSET MANAGEMENT INC|IVES ASSET MANAGEMENT INC|11801 N TATUM BLVD #221||PHOENIX AZ 85028|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
Pacific Regional Office| 106025|801-34567|PENSION CONSULTING ALLIANCE INC|PENSION CONSULTING ALLIANCE INC|15760 VENTURA BLVD|STE 700|ENCINO CA 91463|USA|||  ||JEREMY THIESSEN|503-226-1050|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Publication of periodicals or newsletters|APPROVED|06/05/1989|0|0|0|0|0|0
Pacific 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
Pacific Regional Office| 106071|801-37370|MANCHESTER FINANCIAL INC|MANCHESTER FINANCIAL INC|2829 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
Pacific 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
Pacific Regional Office| 106075|801-35973|THE KELLER GROUP INVESTMENT MANAGEMENT, INC|THE KELLER GROUP INVESTMENT MANAGEMENT, INC|18300 VON KARMAN AVE|STE 600|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
Pacific 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
Pacific 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|APPROVED|06/16/1986|0|0|0|0|0|0
Pacific 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
Pacific 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
Pacific Regional Office| 106178|801-47749|PROSPECT ASSET MANAGEMENT INC|PROSPECT ASSET MANAGEMENT INC|6700 KALANIANAOLE HWY|STE 122|HONOLULU HI 96825|USA|||  ||NAKAMURA, CHERI|808-396-7077|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
Pacific 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
Pacific 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
Pacific 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
Pacific 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
Pacific Regional Office| 106335|801-50509|PHYSICIANS' ASSET MANAGEMENT, INC.|PHYSICIANS' ASSET MANAGEMENT, INC.|742 WASHINGTON BLVD||MARINA DEL REY CA 90292|USA|742 WASHINGTON BLVD.||MARINA DEL REY CA 90292|USA|CASEY, JAMES MICHAEL|310-821-3332|Corporation|Financial 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
Pacific 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
Pacific Regional Office| 106404|801-53568|BARATTA INVESTMENT GROUP TBIG FINANCIAL SERVICES|TBIG FINANCIAL SERVICES INC|756 LAKESHORE DRIVE||INCLINE VILLAGE NV 89452|USA|P.O. BOX 8746||INCLINE VILLAGE NV 89452|USA|BARATTA,SANDY E|877-339-0890|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|01/03/1997|0|0|0|0|0|0
Pacific Regional Office| 106409|801-47081|HACKETT INVESTMENT ADVISORS INC|HACKETT INVESTMENT ADVISORS INC|7373 NORTH SCOTTSDALE RD STE A199||SCOTTSDALE AZ 85253|USA|||  ||HACKETT, THOMAS ROSS|480-483-9413|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|07/26/1994|0|0|0|0|0|0
Pacific 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 businesses or institutional clients (other than investment companies)|APPROVED|03/08/1994|0|0|0|0|0|0
Pacific 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|||  ||MASON, NEVA A.|310-824-6414|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
Pacific 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
Pacific Regional Office| 106482|801-16283|DIMENSIONAL FUND ADVISORS INC|DIMENSIONAL FUND ADVISORS INC|1299 OCEAN AVE 11TH FLR||SANTA MONICA CA 90401|USA|||  ||CATHERINE L. NEWELL|310-395-8005|Corporation|Portfolio 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
Pacific 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
Pacific 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
Pacific 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, Selection of other advisers|APPROVED|06/16/1977|0|0|0|0|0|0
Pacific Regional Office| 106545|801-32288|TCW SPECIAL CREDITS|TCW SPECIAL CREDITS|865 S FIGUEROA ST|STE 1800|LOS ANGELES CA 90017|USA|||  ||MICHELE DANTON|213-244-0542|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/25/1988|0|0|1|0|0|0
Pacific Regional Office| 106546|801-29075|TCW INVESTMENT MANAGEMENT CO|TCW INVESTMENT MANAGEMENT CO|865 S FIGUEROA ST|STE 1800|LOS ANGELES CA 90017|USA|||  ||MICHELE DANTON|213-244-0542|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/18/1987|0|0|1|0|0|0
Pacific Regional Office| 106549|801-19253|MORTON CAPITAL MANAGEMENT|MORTON CAPITAL MANAGEMENT|23945 CALABASAS RD STE 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, Publication of periodicals or newsletters|APPROVED|07/15/1983|0|1|1|0|0|0
Pacific Regional Office| 106564|801-23676|TCW CAPITAL|TCW CAPITAL|865 S FIGUEROA ST STE 1800||LOS ANGELES CA 90017|USA|||  ||MICHELE DANTON|213-244-0542|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/05/1985|0|0|1|0|0|0
Pacific 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 investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/03/1992|0|1|2|0|0|0
Pacific Regional Office| 106612|801-38859|KRAVITZ INVESTMENT ADVISORY SERVICES|KRAVITZ BARRY|3737 A PORTOFINO WAY||SANTA BARBARA CA 93105|USA|P.O. BOX 26||GOLETA CA 93116|USA|KRAVITZ, BARRY|8055696007|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|05/17/1991|0|0|0|0|0|0
Pacific 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
Pacific 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), Other|APPROVED|08/16/1985|0|0|0|0|0|0
Pacific 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
Pacific 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
Pacific Regional Office| 106739|801-53717|HARRIGAN & HOWARD FINANCIAL ADVISORS LLC|HARRIGAN & HOWARD FINANCIAL ADVISORS LLC|4001 MACARTHUR BLVD., SUITE 102||NEWPORT BEACH CA 92660|USA|||  ||HOWARD, NANCY J|949 629-1244|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
Pacific 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
Pacific Regional Office| 106793|801-48923|OAKTREE CAPITAL MANAGEMENT, LLC|OAKTREE CAPITAL MANAGEMENT LLC|333 SOUTH GRAND AVE|28TH FLOOR|LOS ANGELES CA 90071|USA|||  ||SCOTT, KRISTIN HARRISON|213-830-6225|Limited Liability Company|Portfolio 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
Pacific 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
Pacific Regional Office| 106851|801-43319|JOHNSON MARTIN ADVISORS, INC.|JOHNSON MARTIN ADVISORS INC|1161 ANGELO DRIVE||BEVERLY HILLS CA 90210|USA|||  ||MARTIN, VICKI|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
Pacific 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|||  ||MALAMED, RICHARD 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
Pacific 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
Pacific Regional Office| 106902|801-33512|BENCHMARK FINANCIAL LTD|BENCHMARK FINANCIAL LTD|3636 NORTH CENTRAL AVE # 620||PHOENIX AZ 85012|USA|||  ||CERICOLA, WILLIAM N.|602-222-4180|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|12/23/1988|0|0|0|0|0|0
Pacific 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
Pacific Regional Office| 106927|801-51504|THE QINSIGHT GROUP|COMPUTER HANDHOLDERS INC|2635 CAMINO DEL RIO SOUTH|SUITE 111|SAN DIEGO CA 92108|USA|||  ||WILLIAM L. CARTER|(619)-295-9299|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
Pacific Regional Office| 106935|801-48177|WEATHERLY ASSET MANAGEMENT|WEATHERLY ASSET MANAGEMENT LP|832 CAMINO DEL MAR, SUITE 2||DEL MAR CA 92014|USA|||  ||CAROLYN PERSON TAYLOR|858-259-4507|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|01/10/1995|0|0|0|0|0|0
Pacific Regional Office| 106951|801-10188|HOWARD CAPITAL MANAGEMENT|HOWARD CAPITAL MANAGEMENT, INC.|11601 WILSHIRE BLVD||LOS ANGELES CA 90025-1766|USA|||  ||DAVID A. ROBINSON|310-473-9100|Corporation|Portfolio management for individuals and/or small businesses, Other|APPROVED|08/27/1974|0|1|0|0|0|0
Pacific 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, GEORGE A.|818-242-6693|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|06/17/1992|0|0|0|0|0|0
Pacific Regional Office| 106969|801-50628|MOLER CAPITAL MANAGEMENT|MOLER RANDALL GENE|8 CORPORATE PARK|#300|IRVINE CA 92606|USA|||  ||MOLER, NANCY L|949-442-8343|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
Pacific Regional Office| 107008|801-40025|MICHAEL W. 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
Pacific Regional Office| 107030|801-45821|KB  OPPORTUNITY INVESTORS|KB OPPORTUNITY INVESTORS|4343 VON KARMAN AVE||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
Pacific 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
Pacific 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
Pacific Regional Office| 107058|801-29001|CHECK CAPITAL MANAGEMENT INC|CHECK CAPITAL MANAGEMENT INC|575 ANTON BLVD|STE 500|COSTA MESA CA 92626-7685|USA|||  ||CHECK, STEVEN G|714-641-3579|Corporation|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
Pacific 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
Pacific Regional Office| 107085|801-50921|TCW CRESCENT MEZZANINE LLC|TCW CRESCENT MEZZANINE LLC|11100 SANTA MONICA BLVD.|SUITE 2000|LOS ANGELES CA 90025|USA|||  ||MICHELE DANTON|213/244-0542|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/01/1996|0|0|1|0|0|0
Pacific 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
Pacific Regional Office| 107109|801-43588|SALUS CAPITAL MANAGEMENT, INC.|SALUS CAPITAL MANAGEMENT INC|500 S GRAND AVE|STE 1680|LOS ANGELES CA 90071|USA|||  ||EBNER, BRADFORD J|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
Pacific Regional Office| 107112|801-47616|WALSTAD INVESTMENT COUNSEL, INC.|WALSTAD INVESTMENT COUNSEL INC|559 SAN YSIDRO RD|STE C|SANTA BARBARA CA 93108|USA|P.O. BOX 5545||SANTA BARBARA CA 93150|USA|WALSTAD, APRIL N|805-565-5288|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
Pacific 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
Pacific 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|APPROVED|02/24/1995|0|0|0|0|0|0
Pacific Regional Office| 107158|801-36855|GAMBLE, JONES, MORPHY & BENT|GAMBLE, JONES, MORPHY & BENT|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
Pacific 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
Pacific Regional Office| 107228|801-44268|SELECT PORTFOLIO MANAGEMENT INC|SELECT PORTFOLIO MANAGEMENT INC|120 VANTIS, SUITE 430||ALISO VIEJO CA 92656|USA|||  ||AMARADIO,CARIN RUTH|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
Pacific Regional Office| 107287|801-44378|CHANDLER ASSET MANAGEMENT INC|CHANDLER ASSET MANAGEMENT INC|9255 TOWNE CENTRE DR,SUITE 350||SAN DIEGO CA 92121-3039|USA|||  ||KAY CHANDLER|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
Pacific Regional Office| 107292|801-47450|CRESCENT CAPITAL MANAGEMENT CO|CRESCENT CAPITAL MANAGEMENT CO|7473 W. LAKE MEAD BLVD. SUITE 100||LAS VEGAS NV 89128|USA|||  ||JOHN|702-242-1515|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|09/16/1994|0|0|0|0|0|0
Pacific 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
Pacific Regional Office| 107325|801-47993|PROVIDENT INVESTMENT COUNSEL, INC.|PROVIDENT INVESTMENT COUNSEL, INC.|300 NORTH LAKE AVE|PENTHOUSE|PASADENA CA 91101|USA|||  ||AARON W.L. EUBANKS, SR.|(626) 449-8500|Corporation|Portfolio 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
Pacific Regional Office| 107373|801-37083|TCI FINANCIAL PLANNING, INC.|TCI FINANCIAL PLANNING, INC.|1853 N. KOLB||TUCSON AZ 85715|USA|||  ||LOLA OVIEDO|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
Pacific 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
Pacific 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
Pacific 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
Pacific 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
Pacific 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|0|0|0|0
Pacific Regional Office| 107502|801-53527|THE CYPRESS FUNDS LLC|THE CYPRESS FUNDS LLC|865 SOUTH FIGUEROA ST STE 700||LOS ANGELES CA 90017|USA|P.O. BOX 71289||LOS ANGELES CA 90071|USA|STACEY SCHAPER|213-891-6325|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/26/1996|0|0|0|0|0|0
Pacific 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
Pacific Regional Office| 107510|801-45480|HARRIS FINANCIAL ADVISORS, INC.|HARRIS FINANCIAL ADVISORS INC|25500 HAWTHORNE BLVD.|SUITE 1030|TORRANCE CA 90505|USA|||  ||MATTHEW W. KUHN|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
Pacific 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
Pacific Regional Office| 107537|801-50045|NAVELLIER HEDGE MANAGEMENT INC|NAVELLIER HEDGE MANAGEMENT INC|ONE EAST LIBERTY, 3RD FLOOR||RENO NV 89501|USA|||  ||ARJEN KUYPER|775-785-2300|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/18/1996|0|1|0|0|0|0
Pacific Regional Office| 107540|801-41020|THE HUNTER GROUP|JPL FINANCIAL INC|2218 AVENIDA DE LA PLAYA||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)|APPROVED|03/12/1992|0|0|0|0|0|0
Pacific Regional Office| 107568|801-30582|NAVELLIER & ASSOCIATES INC|NAVELLIER & ASSOCIATES INC|1 E. LIBERTY, THIRD FLOOR||RENO NV 89501|USA|||  ||ARJEN KUYPER|775-785-9421|Corporation|Portfolio 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
Pacific Regional Office| 107582|801-52723|DEGREEN WEALTH MANAGEMENT CORPORATION|DEGREEN WEALTH MANAGEMENT CORPORATION|8434 E. SHEA BOULEVARD||SCOTTSDALE AZ 85260-6634|USA|||  ||KEITH P. DEGREEN|(480)483-7300|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|09/09/1996|0|0|0|0|0|0
Pacific Regional Office| 107607|801-51183|SAGE FINANCIAL ADVISORS INC|SAGE FINANCIAL ADVISORS INC|9424 DOUBLE R. BLVD.|SUITE B|RENO NV 89521|USA|||  ||BRIAN LOY|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
Pacific Regional Office| 107650|801-50869|RE CAPITAL MANAGEMENT|QUALITY GROWTH MANAGEMENT INC|16909 CIRCA DEL SUR||RANCHO SANTA FE CA 92067|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), Other|APPROVED|12/26/1995|0|0|0|0|0|0
Pacific 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
Pacific Regional Office| 107672|801-29274|DOWLING & YAHNKE INC|DOWLING & YAHNKE INC|12340 EL CAMINO REAL|SUITE 300|SAN DIEGO CA 92130|USA|||  ||KARROL L. GIBBS|(858)509-9500|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/03/1987|0|0|0|0|0|0
Pacific 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
Pacific Regional Office| 107729|801-48761|STW FIXED INCOME MANAGEMENT LTD|STW FIXED INCOME MANAGEMENT LTD|6185 CARPINTERIA AVENUE||CARPINTERIA CA 93013|USA|||  ||ELIZABETH A. VOS|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
Pacific Regional Office| 107773|801-56814|THE HOUSEHOLDER GROUP, ESTATE & RETIREMENT SPECIALISTS|THE HOUSEHOLDER GROUP, LLLP|645 E. MISSOURI AVENUE|SUITE 290|PHOENIX AZ 85012|USA|||  ||SCOTT HOUSEHOLDER|602-604-0600|Other (specify)|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|09/01/1999|0|0|0|0|0|0
Pacific Regional Office| 107778|801-63265|SEIDLER INVESTMENT ADVISORS INCORPORATED|SEIDLER INVESTMENT ADVISORS INCORPORATED|515 SOUTH FIGUEROA STREET|11TH FLOOR|LOS ANGELES CA 90071-3328|USA|||  ||BARRICK A. SMART|(909)335-8565|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/30/2004|0|8|0|0|0|0
Pacific Regional Office| 107806|801-57506|CLAREMONT FINANCIAL GROUP,INC.|CLAREMONT FINANCIAL GROUP,INC.|464 NORTH INDIAN HILL BLVD||CLAREMONT CA 91711-4650|USA|||  ||J. MICHAEL FAY|(909)624-9200|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/11/2000|0|0|0|0|0|0
Pacific 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
Pacific 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
Pacific Regional Office| 107880|801-55634|CANYON CAPITAL REALTY ADVISORS LLC|CANYON CAPITAL REALTY ADVISORS LLC|9665 WILSHIRE BOULEVARD|SUITE 200|BEVERLY HILLS CA 90212|USA|||  ||K. ROBERT (BOBBY) TURNER|310-247-2700|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
Pacific 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
Pacific Regional Office| 107912|801-39527|DOUGLAS EMMETT REALTY ADVISORS|DOUGLAS EMMETT REALTY ADVISORS|808 WILSHIRE BOULEVARD|SUITE 200|SANTA MONICA CA 90401-1889|USA|||  ||BARBARA J. ORR|310-255-7717|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|07/23/1991|0|0|0|0|0|0
Pacific Regional Office| 107919|801-57145|TOWER ASSET MANAGEMENT LLC|TOWER ASSET MANAGEMENT LLC|8350 WILSHIRE BLVD||BEVERLY HILLS CA 90211|USA|||  ||JAMES D. PORTMAN|323-658-4400|Limited Liability Company|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
Pacific Regional Office| 107922|801-55592|CANYON CAPITAL ADVISORS LLC|CANYON CAPITAL ADVISORS LLC|9665 WILSHIRE BLVD|STE 200|BEVERLY HILLS CA 90212|USA|||  ||JOHN H. SIMPSON|310-247-2700|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
Pacific 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|APPROVED|06/23/2000|0|0|0|0|0|0
Pacific Regional Office| 107965|801-37721|AMERICAN REALTY ADVISORS|AMERICAN REALTY ADVISORS|801 N BRAND BLVD, SUITE 800||GLENDALE CA 91203|USA|||  ||STANLEY L. IEZMAN|818-545-1152|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
Pacific Regional Office| 107969|801-55028|RELATIONAL INVESTORS LLC|RELATIONAL INVESTORS LLC|12400 HIGH BLUFF DR.|SUITE 600|SAN DIEGO CA 92130|USA|||  ||SANIJE PERRETT|858-704-3395|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
Pacific Regional Office| 108000|801-56620|PHILIP V. SWAN ASSOCIATES, LLC|SWAN PHILIP V ASSOCIATES LLC|527 SOUTH LAKE AVENUE|#104|PASADENA CA 91101|USA|||  ||KATIE 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)|APPROVED|06/21/1999|0|2|0|0|0|0
Pacific Regional Office| 108007|801-55141|ETI FINANCIAL GROUP|DOLL, MARY ROSE|919 LOMA VISTA PLACE||SANTA PAULA CA 93060|USA|||  ||MARY R. DOLL|(805) 933-5977|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|01/08/1998|0|0|0|0|0|0
Pacific 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
Pacific 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
Pacific 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|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/15/2005|0|0|0|0|0|0
Pacific Regional Office| 108016|801-54251|PATHWAY CAPITAL MANAGEMENT LLC|PATHWAY CAPITAL MANAGEMENT LLC|5 PARK PLAZA|SUITE 300|IRVINE CA 92614|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
Pacific 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
Pacific Regional Office| 108029|801-55787|JACKSON FINANCIAL MANAGEMENT|JACKSON FINANCIAL MANAGEMENT|20250 SW ACACIA STREET, SUITE 100||NEWPORT BEACH CA 92660|USA|||  ||TRACY O. JACKSON, CFP|949-553-4000|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, Other|APPROVED|08/06/1998|0|0|0|0|0|0
Pacific Regional Office| 108033|801-56675|CLIFFORD ASSOCIATES|CLIFFORD ASSOCIATES LLC|200 SOUTH LOS ROBLES AVE|STE 320|PASADENA CA 91101-2479|USA|||  ||PETER J. BOYLE|626-792-2228|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
Pacific 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
Pacific 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), Other|APPROVED|08/11/1998|0|0|0|0|0|0
Pacific 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
Pacific 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
Pacific 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
Pacific Regional Office| 108114|801-57574|D&M CAPITAL MANAGEMENT, INC.|D&M CAPITAL MANAGEMENT, INC.|1 CITY BLVD WEST, SUITE 707||ORANGE CA 92868|USA|||  ||KARA L. DUCKWORTH|714-939-8592|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
Pacific 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
Pacific 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|||  ||SALLY 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
Pacific Regional Office| 108131|801-56034|MERIDIAN CAPITAL MANAGEMENT INC|MERIDIAN CAPITAL MANAGEMENT INC|4332 CERRITOS AVENUE, STE 100||LOS ALAMITOS CA 90720|USA|||  ||CYNTHIA TERRAZAS|714  229-2266|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
Pacific Regional Office| 108135|801-57784|CADINHA & CO LLC|CADINHA & CO LLC|900 FORT ST. MALL, STE. 1240||HONOLULU HI 96813-3713|USA|||  ||PATRICIA Y. PHARES|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
Pacific 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
Pacific 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
Pacific Regional Office| 108162|801-57158|JRL CAPITAL ADVISORS LLC|JRL CAPITAL ADVISORS LLC|23 CORPORATE PLAZA DRIVE|SUITE 160|NEWPORT BEACH CA 92660|USA|||  ||LARRY R. LAW|949-729-1680|Limited 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|01/11/2000|0|1|0|0|0|0
Pacific 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
Pacific Regional Office| 108186|801-57311|ODYSSEY ADVISORS LLC|ODYSSEY ADVISORS LLC|6701 CENTER DRIVE WEST STE 550||LOS ANGELES CA 90045|USA|||  ||KIMBERLY YUN CHOI|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)|APPROVED|03/17/2000|0|0|0|0|0|0
Pacific Regional Office| 108188|801-55371|IWAMOTO KONG & CO INC|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
Pacific 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
Pacific Regional Office| 108236|801-60145|CAPITAL GUARDIAN TRUST COMPANY|CAPITAL GUARDIAN TRUST COMPANY|333 S. HOPE ST.|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), Pension consulting services|APPROVED|04/27/2001|0|0|0|0|0|0
Pacific 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
Pacific Regional Office| 108278|801-42015|AFFINITY INVESTMENT ADVISORS, LLC|AFFINITY INVESTMENT ADVISORS, LLC|18191 VON KARMAN AVE|SUITE 420|IRVINE CA 92612|USA|||  ||GREGORY LAI|949-660-6373|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/28/1992|0|0|0|0|0|0
Pacific 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|APPROVED|08/04/2000|0|0|0|0|0|0
Pacific 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
Pacific Regional Office| 108335|801-10966|GARY EUGENE GIBBONS DBA THE COLERIDGE GROUP|GIBBONS GARY EUGENE|8628 N SKYLINE DR||PHOENIX AZ 85028|USA|||  ||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
Pacific 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|909-676-2010|Corporation|Financial planning services, Portfolio management 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
Pacific Regional Office| 108389|801-56234|FQN|FQN MANAGEMENT LLC|800 EAST COLORADO BLVD|STE 900|PASADENA CA 91101|USA|||  ||KENNETH RICHARD FUNK|626-795-8220|Limited Liability Company|Portfolio management for investment companies|APPROVED|01/26/1999|2|18|0|0|0|0
Pacific Regional Office| 108390|801-56863|GUILD INVESTMENT MANAGEMENT INC|GUILD INVESTMENT MANAGEMENT INC|23805 STUART RANCH ROAD|SUITE 105|MALIBU CA 90265|USA|||  ||ANTHONY R. DANAHER|310.456.8100|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
Pacific Regional Office| 108404|801-56735|CORNERSTONE WEALTH MANAGEMENT|CORNERSTONE WEALTH MANAGEMENT LLC|17140 BERNARDO CENTER DRIVE|SUITE 206|SAN DIEGO CA 92128|USA|||  ||SHELLEY PEARSON|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
Pacific Regional Office| 108422|801-35837|HOFFMAN AND HOCK, INC.|HOFFMAN AND HOCK, INC.|2525 E CAMELBACK RD, SUITE 820||PHOENIX AZ 85016|USA|||  ||LANA E. HOCK|(602) 468-7778|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|06/08/1990|0|0|0|0|0|0
Pacific 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
Pacific 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
Pacific Regional Office| 108459|801-55154|FOOTHILLS ASSET MANAGEMENT LTD|FOOTHILLS ASSET MANAGEMENT LTD|4500 SOUTH LAKESHORE DRIVE|SUITE 650|TEMPE AZ 85282-7052|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), Other|APPROVED|01/06/1998|0|0|0|0|0|0
Pacific Regional Office| 108475|801-56919|FINANCIAL DIRECTIONS LLC|FINANCIAL DIRECTIONS LLC|1228 EAST PRINCE ROAD||TUCSON AZ 85719|USA|||  ||STAN SPACKEEN|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
Pacific 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|||  ||CHRISTOPHER D. PETITT|(310) 576-3500|Limited Liability Company|Selection of other advisers, Other|APPROVED|07/20/2000|0|0|0|0|0|0
Pacific Regional Office| 108488|801-57089|TRANSAMERICA INVESTMENT MANAGEMENT, LLC|TRANSAMERICA INVESTMENT MANAGEMENT, LLC|1150 SOUTH OLIVE STREET, 27TH FL.||LOS ANGELES CA 90015|USA|||  ||EMME DEVONISH|213-742-4034|Limited Liability Company|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|12/17/1999|0|1|0|0|0|0
Pacific 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)|APPROVED|05/29/1986|0|0|0|0|0|0
Pacific 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|||  ||JOHN BUCKINGHAM|949-499-3215|Corporation|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
Pacific Regional Office| 108548|801-56584|CAPITALWORKS INVESTMENT PARTNERS LLC|CAPITALWORKS INVESTMENT PARTNERS LLC|402 WEST BROADWAY 25TH FLOOR||SAN DIEGO CA 92101|USA|||  ||JOHN WYLIE|619-615-1000|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|06/09/1999|0|0|0|0|0|0
Pacific 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|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|11/10/1997|0|0|0|0|0|0
Pacific 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|||  ||ROSALIND K. LEE|(310) 937-0665|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/02/1999|0|0|0|0|0|0
Pacific Regional Office| 108564|801-56268|GREG MIYASHIRO, CFP|MIYASHIRO GREG SATORU|4211 WAIALAE AVE, SUITE 201||HONOLULU HI 96816|USA|||  ||GREG MIYASHIRO|808-734-7665|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/12/1999|0|0|0|0|0|0
Pacific Regional Office| 108568|801-56610|KOLL BREN SCHREIBER REALTY ADVISORS, INC.|KOLL BREN SCHREIBER REALTY ADVISORS, INC.|4343 VON KARMAN AVE||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
Pacific Regional Office| 108602|801-55033|FFR ADVISORY LLC|FFR ADVISORY LLC|3010 OLD RANCH PKWY|STE 260|SEAL BEACH CA 90740|USA|||  ||KENNETH DONNELLY|562-493-6426|Limited Liability Company|Financial planning services, Portfolio management for 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|0|0|0|0
Pacific 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
Pacific 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|3104776543|Limited Liability Company|Portfolio 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
Pacific 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
Pacific 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
Pacific 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
Pacific 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
Pacific Regional Office| 108724|801-18297|SCHULTZ FINANCIAL GROUP INCORPORATED|SCHULTZ FINANCIAL GROUP INCORPORATED|160 W. HUFFAKER LANE||RENO NV 89511|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
Pacific Regional Office| 108735|801-55719|WESTBOURNE CAPITAL MANAGEMENT LLC|WESTBOURNE CAPITAL MANAGEMENT LLC|11766 WILSHIRE BLVD.|SUITE 1220|LOS ANGELES CA 90025|USA|||  ||NICOLE H. NAKAGAWA|310-445-1990|Limited Liability Company|Portfolio 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
Pacific 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|800-546-8281|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|06/10/1997|0|0|0|0|0|0
Pacific Regional Office| 108740|801-55059|PACWEST FINANCIAL MANAGEMENT INC|PACWEST FINANCIAL MANAGEMENT, INC.|1643 E. BETHANY HOME RD.||PHOENIX AZ 85016|USA|||  ||CHRISTINE M. BELL|602-997-8882|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|11/25/1997|0|0|0|0|0|0
Pacific 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|714-236-8270|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
Pacific 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
Pacific 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
Pacific 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
Pacific 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
Pacific Regional Office| 108818|801-55832|TOTAL INVESTMENT MANAGEMENT INC|TOTAL INVESTMENT MANAGEMENT INC|14415 N 73RD STREET, SUITE 102||SCOTTSDALE AZ 85260|USA|||  ||TODD FOSTER|480-998-5735|Corporation|Financial planning services, Publication of periodicals or newsletters|APPROVED|08/25/1998|0|0|0|0|0|0
Pacific Regional Office| 108832|801-55521|ROXBURY CAPITAL MANAGEMENT LLC|ROXBURY CAPITAL MANAGEMENT LLC|100 WILSHIRE BLVD|STE 1000|SANTA MONICA CA 90401-1121|USA|||  ||MICHELLE AZRIALY|310 917-5608|Limited Liability Company|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|0|0|0|0|0
Pacific 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
Pacific Regional Office| 108860|801-57939|POST ADVISORY GROUP, LLC|POST ADVISORY GROUP, LLC|11755 WILSHIRE BLVD.|SUITE 1400|LOS ANGELES CA 90025|USA|||  ||MICHAEL MIGRO|(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|0|0|0|0|0
Pacific 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
Pacific Regional Office| 108882|801-7739|TOWNELEY CAPITAL MANAGEMENT, INC.|TOWNELEY CAPITAL MANAGEMENT, INC.|23197 LA CADENA DRIVE, SUITE 103||LAGUNA HILLS CA 92653|USA|||  ||TRACY A. KUNTZ, MBA, CFP|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
Pacific 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
Pacific 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
Pacific 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
Pacific Regional Office| 108989|801-57416|PACIFIC ALTERNATIVE ASSET MANAGEMENT CO LLC|PACIFIC ALTERNATIVE ASSET MANAGEMENT CO LLC|1920 MAIN STREET|SUITE 500|IRVINE CA 92614|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
Pacific Regional Office| 109038|801-57362|S.I. CAPITAL CORP.|S.I. CAPITAL CORP.|1780 CARLA RIDGE||BEVERLY HILLS CA 90210|USA|||  ||STUART BANDMAN|310-550-1063|Corporation|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
Pacific 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
Pacific 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
Pacific Regional Office| 109102|801-57259|GLT WEALTH ADVISORS INC|GLT WEALTH ADVISORS INC|5946 PRIESTLY DRIVE SUITE 200||CARLSBAD CA 92008|USA|||  ||CHARLEEN R. ZIEKY|760 431-8440|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/18/2000|0|0|0|0|0|0
Pacific Regional Office| 109143|801-57978|INDEX FUNDS ADVISORS, INC.|INDEX FUNDS ADVISORS, INC.|19200 VON KARMAN AVE, SUITE 500||IRVINE CA 92612-8512|USA|||  ||MARK HEBNER|949-477-8015|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/28/2000|0|0|0|0|0|0
Pacific 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|0|0|0|0|0
Pacific 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
Pacific Regional Office| 109187|801-58145|ACCOUNTANTS FINANCIAL ALLIANCE, INC.|ACCOUNTANTS FINANCIAL ALLIANCE, INC.|26637 W. AGOURA ROAD||CALABASAS CA 91302|USA|||  ||CINDY SCHWARTZ|818-708-0111|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|11/20/2000|0|0|1|0|0|0
Pacific 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|1|0|0|0|0
Pacific 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
Pacific Regional Office| 109271|801-58077|ASSOCIATED RETIREMENT PLANNERS|ASSOCIATED RETIREMENT PLANNERS|5075 S. BRADLEY ROAD|SUITE 234|SANTA MARIA CA 93455|USA|||  ||JULIE A BANUELOS|805-937-4556|Partnership|Portfolio management for individuals and/or small businesses|APPROVED|11/08/2000|0|0|0|0|0|0
Pacific Regional Office| 109281|801-66298|ROSEN CAPITAL MANAGEMENT LLC|ROSEN CAPITAL MANAGEMENT LLC|100 WILSHIRE BLVD 15TH FLOOR||SANTA MONICA CA 90401|USA|||  ||JOHN KYLE ROSEN|(310) 917-6600|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/24/2006|0|0|0|0|0|0
Pacific Regional Office| 109282|801-56347|VIEWPOINT INVESTMENT PARTNERS|VIEWPOINT INVESTMENT PARTNERS|11995 EL CAMINO REAL|SUITE 305|SAN DIEGO CA 92130|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
Pacific Regional Office| 109289|801-58188|IMMG|THE INVESTMENT & MONEY MANAGMENT GROUP, INC.|2522 CHAMBERS ROAD|SUITE 110|TUSTIN CA 92780|USA|||  ||ERLE M. PETRIE|714-573-4048|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|12/08/2000|0|0|0|0|0|0
Pacific 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
Pacific 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|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/15/1998|0|0|0|0|0|0
Pacific 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, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|04/21/2000|0|0|0|0|0|0
Pacific Regional Office| 109376|801-58087|BAUER CAPTAIN & JOHNSON, INC.|BAUER CAPTAIN & JOHNSON, INC.|6720 NORTH SCOTTSDALE ROAD|SUITE 170|SCOTTSDALE AZ 85253|USA|||  ||KEVIN G. BAUER|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), Other|APPROVED|11/15/2000|0|1|0|0|0|0
Pacific Regional Office| 109389|801-55725|STRATEGIC WEALTH MANAGEMENT INC|STRATEGIC WEALTH MANAGEMENT INC|41131 CHEMIN COUTET||TEMECULA CA 92591|USA|||  ||PETER F. LUCIER|951-695-4937|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/20/1998|0|0|0|0|0|0
Pacific 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
Pacific 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
Pacific Regional Office| 109409|801-62784|YOUR SOURCE FINANCIAL|COLLETT RAGLAND FINANCIAL PLC|2398 EAST CAMELBACK ROAD|SUITE 620|PHOENIX AZ 85016|USA|||  ||CHAD W. RAGLAND|602-224-6670|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/13/2004|0|0|0|0|0|0
Pacific 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|602-277-4570|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|06/28/2000|0|0|0|0|0|0
Pacific Regional Office| 109429|801-55138|HOYLECOHEN,INC.|HOYLECOHEN, INC.|9350 WAXIE WAY|SUITE 500|SAN DIEGO CA 92123|USA|||  ||RON MENNELLA|858 576 7300|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|01/05/1998|0|0|0|0|0|0
Pacific 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
Pacific Regional Office| 109527|801-55171|AQN ADVISORS INC|AQN ADVISORS INC|4757 CAUGHLIN PARKWAY, SUITE B||RENO NV 89509|USA|||  ||DOUG NELSON|775-746-6255|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/13/1998|0|0|0|0|0|0
Pacific 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|0|0|0|0|0
Pacific 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
Pacific 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
Pacific Regional Office| 109603|801-56188|ROWLING DOLD & ASSOCIATES LLP|ROWLING DOLD & ASSOCIATES LLP|8989 RIO SAN DIEGO DRIVE, SUITE 365||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
Pacific 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)|APPROVED|09/05/2000|0|0|0|0|0|0
Pacific 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
Pacific 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
Pacific 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
Pacific Regional Office| 109676|801-60570|OPTIMUMPORTFOLIO.COM|OPTIMUMPORTFOLIO.COM, LLC|17005 COLONY DRIVE, #103||FOUNTAIN HILLS AZ 85268|USA|P.O. BOX 17089||FOUNTAIN HILLS AZ 85269|USA|HERBERT W. ROBINSON|480-837-9899|Limited Liability Company|Other|APPROVED|09/17/2001|0|2|0|0|0|0
Pacific 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|KAREN S. MCCUE|310-444-2615|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|11/01/2002|0|0|0|0|0|0
Pacific Regional Office| 109723|801-60031|PFF BANK & TRUST, FSB|PFF BANK & TRUST, FSB|393 W. FOOTHILL BOULEVARD|2ND FLOOR|CLAREMONT CA 91711|USA|||  ||JOE HAWKES, ESQ.|909-447-2060|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/16/2001|0|0|0|0|0|0
Pacific Regional Office| 109766|801-14216|BENDER ROBERT & ASSOCIATES|BENDER ROBERT L INC|245 S. LOS ROBLES AVENUE|SUITE 620|PASADENA CA 91101|USA|||  ||CATHY EMMETT|626-397-9072|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/01/1978|0|2|0|0|0|0
Pacific 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
Pacific 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
Pacific 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
Pacific Regional Office| 109849|801-44774|EAST PACIFIC INVESTMENT COMPANY INC|EAST PACIFIC INVESTMENT CO INC|1001 BISHOP STREET, AMERICAN SAVINGS BANK TOWERS|SUITE 2990|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
Pacific Regional Office| 109851|801-51614|CYMRIC FAMILY OFFICE SERVICES|CYMRIC FAMILY OFFICE SERVICES|3090 BRISTOL STREET|SUITE 350|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
Pacific 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
Pacific 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
Pacific 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
Pacific 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
Pacific Regional Office| 109878|801-57164|YALEFUNDS MANAGEMENT & RESEARCH CO|YALEFUNDS MANAGEMENT & RESEARCH CO|1282 AUTUMN WIND WAY||HENDERSON NV 89052-3054|USA|||  ||YI YALE WANG|(702)307-9898|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|01/14/2000|0|0|0|0|0|0
Pacific Regional Office| 109912|801-39512|FIRST PACIFIC ADVISORS, INC|FIRST PACIFIC ADVISORS, INC|11400 WEST OLYMPIC BOULEVARD|SUITE 1200|LOS ANGELES CA 90064|USA|||  ||SHERRY SASAKI|(310) 996-5436|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/27/1991|0|0|0|0|0|0
Pacific 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
Pacific 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
Pacific Regional Office| 109961|801-56521|STOCKJUNGLE COM INVESTMENT ADVISORS INC|STOCKJUNGLE COM INVESTMENT ADVISORS INC|5750 WILSHIRE BOULEVARD|STE 560|LOS ANGELES CA 90036|USA|||  ||MICHAEL JAMES WITZ|323.602.2000|Corporation|Portfolio management for investment companies|APPROVED|05/11/1999|0|0|0|0|0|0
Pacific 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
Pacific Regional Office| 109970|801-57176|FOCUS INVESTMENT ADVISORS|FOCUS INVESTMENT ADVISORS|511 SAXONY PLACE,|SUITE 101|ENCINITAS CA 92024|USA|||  ||ANDREW 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
Pacific Regional Office| 109981|801-48858|CB RICHARD ELLIS INVESTORS, LLC|CB RICHARD ELLIS INVESTORS, LLC|865 S. FIGUEROA STREET, SUITE 3500||LOS ANGELES CA 90017|USA|||  ||LAURIE ROMANAK|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
Pacific 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
Pacific 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
Pacific Regional Office| 110067|801-6778|ENGEBRETSON CAPITAL MANAGEMENT INC|ENGEBRETSON CAPITAL MANAGEMENT, INC|620 NEWPORT CTR DRIVE|SUITE 750|NEWPORT BEACH CA 92660|USA|||  ||LESTER W.ENGEBRETSON|949-759-9684|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/28/1970|0|1|0|0|0|0
Pacific 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
Pacific 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 investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/08/1984|0|2|1|0|0|0
Pacific Regional Office| 110092|801-56991|KEN STERN & ASSOCIATES INC|KEN STERN & ASSOCIATES INC|12396 WORLD TRADE DR., STE 109||SAN DIEGO CA 92128|USA|||  ||KENNETH A. STERN|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
Pacific Regional Office| 110121|801-58173|MOSAIQUE CAPITAL MANAGEMENT, LLC|MOSAIQUE CAPITAL MANAGEMENT, LLC|1999 AVENUE OF THE STARS||LOS ANGELES CA 90067-6100|USA|||  ||DOROTHY STANIEC|973-793-2255|Limited Liability Company|Selection of other advisers|APPROVED|12/12/2000|0|7|1|0|0|0
Pacific Regional Office| 110131|801-57824|WEALTH RESOURCES GROUP|WEALTH RESOURCES GROUP|5855 TOPANGA CYN, SUITE 420||WOODLAND HILLS CA 91367|USA|||  ||NEAL FRANKLE|818-716-3100|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
Pacific Regional Office| 110213|801-60042|ANGELES INVESTMENT ADVISORS|ANGELES INVESTMENT ADVISORS, LLC.|429 SANTA MONICA BLVD.|SUITE 500|SANTA MONICA CA 90401|USA|||  ||SANDRA A. CHOI|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
Pacific Regional Office| 110242|801-60039|DENALI ADVISORS, LLC|DENALI ADVISORS, LLC|9191 TOWNE CENTRE DRIVE|SUITE 365|SAN DIEGO CA 92122|USA|||  ||DOUG PALENCHAR|858-558-3600|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|03/02/2001|0|0|0|0|0|0
Pacific Regional Office| 110266|801-55355|ENVISION CAPITAL MANAGEMENT LTD|ENVISION CAPITAL MANAGEMENT LTD|8416 EAST SHEA BOULEVARD|SUITE 100|SCOTTSDALE AZ 85260|USA|||  ||MICHAEL DRUCKMAN|480-219-6240|Corporation|Financial 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|03/16/1998|0|0|0|0|0|0
Pacific Regional Office| 110291|801-47318|AMI ASSET MANAGEMENT CORP|AMI ASSET MANAGEMENT CORP|10866 WILSHIRE BLVD., 10TH FL.||LOS ANGELES CA 90024|USA|||  ||MATTHEW T. HUMISTON|310-446-2736|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|08/23/1994|0|0|0|0|0|0
Pacific 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
Pacific Regional Office| 110329|801-9755|NEEDELMAN ASSET MANAGEMENT INC|NEEDELMAN ASSET MANAGEMENT INC|111 PACIFICA|SUITE 140|IRVINE CA 92618|USA|||  ||BETH MASIELLO|949-453-1333|Corporation|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
Pacific 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
Pacific 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
Pacific 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
Pacific 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
Pacific 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. WHANG|808-677-6700|Corporation|Other|APPROVED|02/12/1993|0|0|0|0|0|0
Pacific 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
Pacific Regional Office| 110410|801-55681|NWF ADVISORY SERVICES INC|NWF ADVISORY SERVICES INC|11835 W OLYMPIC BLVD|STE 1150E|LOS ANGELES CA 90064|USA|||  ||MICHAEL E. CURRY|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)|APPROVED|06/30/1998|0|0|0|0|0|0
Pacific Regional Office| 110416|801-20706|PACIFIC CORPORATE GROUP LLC|PACIFIC CORPORATE GROUP LLC|1200 PROSPECT ST|SUITE 200|LA JOLLA CA 92037|USA|||  ||JOSE FERNANDEZ|(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
Pacific Regional Office| 110428|801-24076|MESSNER & SMITH|MESSNER & SMITH THEME VALUE INVESTMENT MANAGEMENT LTD|530 B ST|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
Pacific Regional Office| 110441|801-8162|WESTERN ASSET MANAGEMENT COMPANY|WESTERN ASSET MANAGEMENT COMPANY|385 E. COLORADO BLVD.||PASADENA CA 91101|USA|||  ||GREGORY B. MCSHEA|626-844-9985|Corporation|Portfolio 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
Pacific Regional Office| 110445|801-52674|CHARLES FISH INVESTMENTS, INC.|FISH CHARLES INVESTMENTS INC|20 CORPORATE PARK, SUITE 400||IRVINE CA 92606|USA|||  ||BETSY SHELTON|949-851-3181|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
Pacific 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)|APPROVED|12/31/1991|0|0|0|0|0|0
Pacific 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), Other|APPROVED|03/31/1992|0|0|0|0|0|0
Pacific 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
Pacific 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
Pacific Regional Office| 110566|801-64168|RJL CAPITAL MANAGEMENT|LOVE RICHARD JOY|226 E. CANON PERDIDO , SUITE F||SANTA BARBARA CA 93101|USA|||  ||RICHARD JOY LOVE|805-963-0029|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED-120|04/29/2005|0|0|0|0|0|0
Pacific 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|APPROVED|10/30/1995|0|0|0|0|0|0
Pacific 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), Pension consulting services, Selection of other advisers|APPROVED|04/25/1984|0|0|0|0|0|0
Pacific Regional Office| 110604|801-37742|KEATS CONNELLY & ASSOCIATES INC.|KEATS CONNELLY & 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
Pacific Regional Office| 110609|801-63852|CULLINGTON HILL ADVISORS, INC.|CULLINGTON HILL ADVISORS, INC.|5151 SHOREHAM PLACE|SUITE 200|SAN DIEGO CA 92122|USA|||  ||CINDI HILL|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
Pacific Regional Office| 110623|801-60073|IRONWOOD INVESTMENT COUNSEL, LLC|IRONWOOD INVESTMENT COUNSEL, LLC|11801 N. TATUM BLVD.|SUITE 224|PHOENIX AZ 85028|USA|||  ||PAUL 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
Pacific 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
Pacific Regional Office| 110678|801-54885|VM JONES FINANCIAL CONSULTING, L.L.C.|VM JONES FINANCIAL CONSULTING, L.L.C.|2055 E. WARNER ROAD|SUITE 102|TEMPE AZ 85284|USA|||  ||VEARLE M. JONES|480-756-6010|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|03/15/1999|0|1|0|0|0|0
Pacific Regional Office| 110681|801-56526|CAPITAL GUARDIAN (CANADA), INC.|CAPITAL GUARDIAN (CANADA), INC.|333 SOUTH HOPE ST|55TH FL.|LOS ANGELES CA 90071-1406|USA|||  ||PETER C. KELLY|(310) 996-6204|Corporation|Other|APPROVED|06/01/1999|0|0|0|0|0|0
Pacific Regional Office| 110682|801-32104|CAPITAL INTERNATIONAL, INC.|CAPITAL INTERNATIONAL RESEARCH & 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), Pension consulting services|APPROVED|05/20/1988|0|0|0|0|0|0
Pacific 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
Pacific Regional Office| 110688|801-54943|CAPITAL INTERNATIONAL RESEARCH INC|CAPITAL INTERNATIONAL RESEARCH INC|333 SOUTH HOPE ST|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
Pacific Regional Office| 110726|801-6776|BJURMAN, BARRY & ASSOCIATES|BJURMAN, BARRY & ASSOCIATES|10100 SANTA MONICA BLVD|SUITE 1200|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
Pacific 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|ROBERT GRAY|805  388-7095|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|07/30/1975|0|0|0|0|0|0
Pacific 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|||  ||BENICIA SABLAN|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
Pacific Regional Office| 110772|801-25136|CHEVIOT VALUE MANAGEMENT, INC.|CHEVIOT VALUE MANAGEMENT, INC.|100 WILSHIRE BLVD|STE 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
Pacific 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
Pacific Regional Office| 110816|801-4740|MORGAN JESS S & CO INC|MORGAN JESS S & CO INC|16830 VENTURA BLVD|SUITE 411|ENCINO CA 91436-1720|USA|||  ||GARY LEVENSTEIN|818-783-2409|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/10/1968|0|0|0|0|0|0
Pacific 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
Pacific 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
Pacific 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
Pacific 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
Pacific 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
Pacific Regional Office| 110941|801-48606|HALBERT HARGROVE|KLOSTERMAN CAPITAL CORP|5973 AVENIDA ENCINAS|STE 300|CARLSBAD CA 92008|USA|111 W. OCEAN BLVD., SUITE 2300||LONG BEACH CA 90802|USA|KIRSTEN VIERS|562-435-5657|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/09/1995|0|0|0|0|0|0
Pacific 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
Pacific 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 investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|04/02/1975|0|0|0|0|0|0
Pacific 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
Pacific 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
Pacific 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
Pacific 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|APPROVED|07/10/1987|0|0|0|0|0|0
Pacific Regional Office| 111064|801-19279|BUFFALO CAPITAL CORPORATION|BUFFALO CAPITAL CORPORATION|4001 MACARTHUR BLVD|SUITE 102|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
Pacific 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
Pacific Regional Office| 111070|801-56051|CAPRI INVESTMENT COMPANY, LLC|SORRENTO INVESTMENT CO LLC|1800 AVENUE OF THE STARS|SUITE 600|LOS ANGELES CA 90067|USA|||  ||NITA SHULMAN|310-203-7583|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|12/08/1998|0|0|0|0|0|0
Pacific Regional Office| 111078|801-11571|PROVIDENT CAPITAL CORP|PROVIDENT CAPITAL CORP|4130 LA JOLLA VILLAGE DR|STE 203|LA JOLLA CA 92037|USA|||  ||ROBBINS YUE-QUEN TONG|858-623-8459|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/06/1976|0|0|0|0|0|0
Pacific 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
Pacific Regional Office| 111090|801-25937|PUPLAVA FINANCIAL SERVICES INC|PUPLAVA FINANCIAL SERVICES INC|10801 THORNMINT ROAD|SUITE #100|SAN DIEGO CA 92127|USA|PO BOX 503147||SAN DIEGO CA 92150-3147|USA|SCOTT MIDDLETON|858-487-3939|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|12/31/1985|0|0|0|0|0|0
Pacific Regional Office| 111091|801-48282|ING INVESTMENTS, LLC|ING INVESTMENTS, LLC|7337 E. DOUBLETREE RANCH ROAD||SCOTTSDALE AZ 85258-2034|USA|||  ||LAUREN D. BENSINGER|480-477-2140|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/07/1995|0|11|3|0|0|0
Pacific Regional Office| 111106|801-58275|FREEMAN ASSOCIATES INVESTMENT MANAGEMENT LLC|FREEMAN ASSOCIATES INVESTMENT MANAGEMENT LLC|16236 SAN DIEGUITO ROAD|SUITE 2-20|RANCHO SANTA FE CA 92067|USA|P.O. BOX 9210||RANCHO SANTA FE CA 92067|USA|JOHN D. FREEMAN|858-759-2820|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/15/2001|0|1|0|0|0|0
Pacific Regional Office| 111147|801-29358|ENRIGHT PREMIER WEALTH ADVISORS, INC.|ENRIGHT PREMIER WEALTH ADVISORS, INC.|21515 HAWTHORNE BLVD STE 1050||TORRANCE CA 90503|USA|||  ||STEPHANIE V. ENRIGHT|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
Pacific 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
Pacific 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
Pacific 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
Pacific 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
Pacific Regional Office| 111227|801-62882|MRD, INC.|MRD, INC.|8 WESTCOTT LANE||LADERA RANCH CA 92694|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), Other|APPROVED|03/11/2004|0|0|0|0|0|0
Pacific Regional Office| 111243|801-46423|SUMMIT PORTFOLIO MANAGEMENT INC.|SUMMIT PORTFOLIO MANAGEMENT INC.|11601 WILSHIRE BL.|1830|LOS ANGELES CA 90025|USA|||  ||TIMOTHY BOCK|310-590-7777|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/02/1994|0|0|0|0|0|0
Pacific 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
Pacific 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
Pacific Regional Office| 111320|801-54265|PRIVATE WEALTH MANAGEMENT INC.|PRIVATE WEALTH MANAGEMENT INC.|1201 S. ALMA SCHOOL ROAD|SUITE 12750|MESA AZ 85210|USA|||  ||MICHELLE L. DECKER|480/890-8088|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
Pacific 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
Pacific Regional Office| 111324|801-49690|ROBERT OSHER INVESTMENT MANAGEMENT|ROBERT OSHER INVESTMENT MANAGEMENT|225 SOUTH LAKE AVENUE|SUITE 1410|PASADENA CA 91101|USA|||  ||SILVIA ABURTO|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
Pacific Regional Office| 111354|801-46298|HELIX INVESTMENT PARTNERS LLC|HELIX INVESTMENT PARTNERS LLC|3511 CAMINO DEL RIO SOUTH|SUITE #301|SAN DIEGO CA 92108|USA|||  ||PAUL COX|619-283-3550|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|04/26/1994|0|0|0|0|0|0
Pacific 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
Pacific 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
Pacific Regional Office| 111466|801-53274|ASPEN MANAGEMENT GROUP LTD|ASPEN MANAGEMENT GROUP LTD|7740 N. 16TH ST.|#385|PHOENIX AZ 85020|USA|||  ||STEPHEN R. GALVIN|602-674-1031|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|11/14/1996|0|0|0|0|0|0
Pacific Regional Office| 111475|801-57542|STRATEGIC CAPITAL MANAGEMENT, INC.|STRATEGIC CAPITAL MANAGEMENT INC|341 WEST FIRST ST|STE 200|CLAREMONT CA 91711|USA|||  ||LISSA BIAZO|909-626-0012|Corporation|Financial planning services, Portfolio management 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|05/02/2000|0|0|0|0|0|0
Pacific 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
Pacific Regional Office| 111580|801-57328|COMPU/FUND, INC.|COMPU/FUND, INC.|180 SOUTH LAKE AVENUE|SUITE 520|PASADENA CA 91101|USA|||  ||BRUCE PRETZINGER|626-793-8412|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/17/2000|0|0|0|0|0|0
Pacific 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
Pacific Regional Office| 111590|801-56790|CB RICHARD ELLIS VALUE INVESTORS, L.L.C.|CB RICHARD ELLIS VALUE INVESTORS, L.L.C.|865 SOUTH FIGUEROA STREET|SUITE 3500|LOS ANGELES CA 90017|USA|||  ||LAURIE ROMANAK|213-683-4200|Limited Liability Company|Other|APPROVED|08/27/1999|0|0|0|0|0|0
Pacific 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
Pacific 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
Pacific Regional Office| 111641|801-64492|PLEXUS FINANCIAL GROUP, INC.|PLEXUS FINANCIAL GROUP, INC.|20382 BARENTS SEA CIRCLE||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
Pacific 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
Pacific 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, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|07/07/2005|0|0|0|0|0|0
Pacific 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
Pacific 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 WEISS|310-888-6314|Corporation|Portfolio management for investment companies, Selection of other advisers|APPROVED|04/13/2001|0|0|0|0|0|0
Pacific Regional Office| 111801|801-33340|ENHANCED SECURITY PLANNING, INC.|ENHANCED SECURITY PLANNING, INC.|17451 BASTANCHURY ROAD|SUITE 101D|YORBA LINDA CA 92886|USA|||  ||STEVE KIERNAN|714-528-6991|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters, Market timing services|APPROVED|11/25/1988|0|0|0|0|0|0
Pacific Regional Office| 111822|801-60246|FLC CAPITAL ADVISORS|FLC CAPITAL ADVISORS|44-801 VILLAGE COURT|SUITE 201|PALM DESERT CA 92260|USA|||  ||JONATHAN L. CHATFIELD|760-779-8110|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
Pacific 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
Pacific 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, Publication of periodicals or newsletters|APPROVED|12/15/1997|0|1|0|0|0|0
Pacific 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
Pacific 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
Pacific Regional Office| 111979|801-51855|PLEXUS GROUP, INC.|PLEXUS GROUP, INC.|SUITE 1000|11150 WEST OLYMPIC BOULEVARD|LOS ANGELES CA 90064|USA|||  ||SUZANNE CHMURA|718 242 3428|Corporation|Pension consulting services|APPROVED|03/24/1996|0|3|3|0|0|0
Pacific Regional Office| 111982|801-58232|WEST COAST ASSET MANAGEMENT,INC.|WEST COAST ASSET MANAGEMENT,INC.|2151 ALESSANDRO DRIVE|SUITE 100|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
Pacific 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
Pacific 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
Pacific 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
Pacific Regional Office| 112129|801-64553|THE KOCEN FINANCIAL GROUP, INC.|THE KOCEN FINANCIAL GROUP, INC.|255 NORTH EL CIELO ROAD, SUITE 300||PALM SPRINGS CA 92262-6973|USA|||  ||BRYAN STUART KOCEN|760-778-3888|Corporation|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
Pacific 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
Pacific Regional Office| 112143|801-56353|THE GLOWACKI GROUP, LLC|THE GLOWACKI GROUP, LLC|11444 W OLYMPIC BLVD STE 200||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
Pacific 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
Pacific Regional Office| 112214|801-54718|HOULIHAN LOKEY HOWARD & ZUKIN FINANCIAL ADVISORS, INC.|HOULIHAN LOKEY HOWARD & ZUKIN FINANCIAL ADVISORS INC|1930 CENTURY PARK WEST||LOS ANGELES CA 90067-6802|USA|||  ||ED TANIGUCHI|310.788.5397|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/09/1997|0|0|0|0|0|0
Pacific Regional Office| 112310|801-35366|R.E. WACKER ASSOCIATES|WACKER ROBERT EUGENE|973 HIGUERA ST., STE. A||SAN LUIS OBISPO CA 93401|USA|||  ||ROBERT E. WACKER|805-541-1308|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/16/1989|0|0|0|0|0|0
Pacific Regional Office| 112324|801-60203|ASSET MANAGEMENT GROUP OF BANK OF HAWAII|BANK OF HAWAII|130 MERCHANT STREET, SUITE 370||HONOLULU HI 96813|USA|||  ||DONALD G. CHARLES|808-538-4758|Other (specify)|Portfolio management for investment companies|APPROVED|04/20/2001|0|0|0|0|0|0
Pacific 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
Pacific Regional Office| 112337|801-42175|OAKMONT CORPORATION|OAKMONT CORPORATION|865 S.FIGUEROA STREET|STE 700|LOS ANGELES CA 90017|USA|P.O. BOX 71289|ATLANTIC RICHFIELD PLAZA STATION|LOS ANGELES CA 90071|USA|STACEY SCHAPER|213-891-6325|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
Pacific Regional Office| 112350|801-49797|ALM ADVISORS, INC.|ALM ADVISORS, INC.|3452 E. FOOTHILL BLVD., SUITE 230||PASADENA CA 91107|USA|||  ||GABRIELA GARCIA|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
Pacific 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|APPROVED|03/25/2005|0|0|0|0|0|0
Pacific Regional Office| 112363|801-17953|CREATIVE CAPITAL MANAGEMENT INC|CREATIVE CAPITAL MANAGEMENT INC|2650 CAMINO DEL RIO NORTH STE 302||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
Pacific 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
Pacific 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
Pacific 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
Pacific 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
Pacific 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
Pacific 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
Pacific Regional Office| 112491|801-56109|GERALD KLEIN & ASSOCIATES|GERALD KLEIN & ASSOCIATES, INC.|32641 ADRIATIC DR||MONARCH BEACH CA 92629|USA|||  ||GERALD H. KLEIN|949-240-3444|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|12/24/1998|0|1|1|0|0|0
Pacific Regional Office| 112524|801-60351|JONES WALL STREET INCORPORATED|JONES WALL STREET INCORPORATED|650 HAMPSHIRE ROAD|SUITE 100|WESTLAKE VILLAGE CA 91361|USA|650 HAMPSHIRE ROAD|SUITE 100|WESTLAKE VILLAGE CA 91361|USA|GEORGE A. JONES|805-374-2700|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
Pacific Regional Office| 112595|801-57805|BROTHERTON INVESTMENT CONSULTANTS LLC|BROTHERTON INVESTMENT CONSULTANTS LLC|8658 E. SAN ALBERTO DRIVE||SCOTTSDALE AZ 85258|USA|||  ||JOHN L. 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
Pacific Regional Office| 112648|801-57079|AMAROQ ASSET MANAGEMENT LLC|AMAROQ ASSET MANAGEMENT LLC|280 SOUTH BEVERLY DR #504||BEVERLY HILLS CA 90212|USA|||  ||NICOLLE WADDY|310.205.6070|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|12/17/1999|0|3|1|0|0|0
Pacific Regional Office| 112679|801-55423|FINANCIAL ADVISORY CORP|FINANCIAL ADVISORY CORP|5151 CHELTERHAM TERRACE||SAN DIEGO CA 92130|USA|P.O. BOX 1087||SOLANA BEACH CA 92075|USA|MICHAEL A. STAFFIERI|858-792-7764|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/02/1998|0|0|0|0|0|0
Pacific Regional Office| 112708|801-63083|RILEY INVESTMENT MANAGEMENT|RILEY INVESTMENT MANAGEMENT LLC|11100 SANTA MONICA BOULEVARD SUITE 800||LOS ANGELES CA 90025|USA|||  ||BRYANT RILEY|310 966 1444|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/05/2004|0|4|0|0|0|0
Pacific 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
Pacific Regional Office| 112923|801-50373|STERLING INVESTMENT MANAGEMENT, INC.|STERLING INVESTMENT MANAGEMENT, INC.|1050 E. RIVER ROAD SUITE 302||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
Pacific 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), Publication of periodicals or newsletters|APPROVED|01/17/2002|0|0|0|0|0|0
Pacific 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
Pacific Regional Office| 113064|801-60322|INFLECTIVE ASSET MANAGEMENT, LLC|INFLECTIVE ASSET MANAGEMENT, LLC|1334 PARKVIEW AVENUE, SUITE 310||MANHATTAN BEACH CA 90266|USA|||  ||LAKE SETZLER|310-545-2992|Limited Liability Company|Portfolio 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|1|0|0|0|0
Pacific 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), Pension consulting services, Selection of other advisers|APPROVED|08/31/2001|0|0|0|0|0|0
Pacific Regional Office| 113098|801-63162|GOULD ASSET MANAGEMENT LLC|GOULD ASSET MANAGEMENT LLC|114 N.INDIAN HILL BLVD.,|SUITE S|CLAREMONT CA 91711-4642|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
Pacific Regional Office| 113131|801-60385|INTER-CONTINENTAL ASSOCIATES GROUP, LLC|INTER-CONTINENTAL ASSOCIATES GROUP, LLC|32 FOX TRACE COURT||HENDERSON NV 89014|USA|1340 N. MAIN STREET|SUITE 190|GRAPEVINE TX 76051|USA|LYLE J. MORTENSEN|(817) 416-2533|Limited Liability Company|Financial planning services, Other|APPROVED|07/18/2001|0|0|0|0|0|0
Pacific Regional Office| 113202|801-60363|SANTA BARBARA ALPHA STRATEGIES|SANTA BARBARA ALPHA STRATEGIES|30 EL PASEO BLDG.||SANTA BARBARA CA 93101|USA|||  ||DAVID MATHEWS|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
Pacific 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 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|07/06/2001|0|0|0|0|0|0
Pacific 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
Pacific Regional Office| 113308|801-60343|CAUSEWAY CAPITAL MANAGEMENT LLC|CAUSEWAY CAPITAL MANAGEMENT LLC|11111 SANTA MONICA BOULEVARD|SUITE 1550|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
Pacific Regional Office| 113516|801-63003|ASSET PRESERVATION STRATEGIES, INC.|ASSET PRESERVATION STRATEGIES, INC.|3655 NOBEL DRIVE|SUITE 335|SAN DIEGO CA 92122-1050|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
Pacific 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
Pacific 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
Pacific Regional Office| 113537|801-60506|III ASSOCIATES|III ASSOCIATES|191 MANOR DRIVE|SUITE 3|STATELINE NV 89449|USA|PO BOX 1340||ZEPHYR COVE NV 89448|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
Pacific Regional Office| 113539|801-60505|III OFFSHORE ADVISORS|III OFFSHORE ADVISORS|191 MANOR DRIVE|SUITE 3|STATELINE NV 89449|USA|PO BOX 1340||ZEPHYR COVE NV 89448|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
Pacific Regional Office| 113540|801-60439|SWAN & HERRING, LLC|SWAN & HERRING, LLC|30011 IVY GLENN DRIVE, SUITE 200||LAGUNA NIGUEL CA 92677-5017|USA|||  ||MICHAEL E. SWAN|949-495-8870|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|07/27/2001|0|0|0|0|0|0
Pacific Regional Office| 113621|801-62795|PARTNERVEST ADVISORY SERVICES LLC|PARTNERVEST ADVISORY SERVICES LLC|203 CHAPALA STREET|SUITE A|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
Pacific 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
Pacific Regional Office| 113719|801-57976|BACHE CAPITAL MANAGEMENT|BACHE CAPITAL MANAGEMENT, INC.|101 N. BRAND BLVD|SUITE 1950|GLENDALE CA 91203|U.S.A.|||  ||STEPHEN K. BACHE, CFA|818-956-8190|Corporation|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
Pacific 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
Pacific Regional Office| 113811|801-60435|SPRINGBOARD CAPITAL MANAGEMENT, INC.|SPRINGBOARD CAPITAL MANAGEMENT, INC.|610 NEWPORT CENTER DRIVE|SUITE 600|NEWPORT BEACH CA 92660|USA|610 NEWPORT CENTER DRIVE|SUITE 600|NEWPORT BEACH CA 92660|U.S.|JEREMIE MCKEE|949-720-9960|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/24/2001|0|0|0|0|0|0
Pacific Regional Office| 113822|801-63895|HERSHBERGER FINANCIAL SERVICES|WANDA L. HERSHBERGER|749 SOUTH BREA BLVD., SUITE 41||BREA CA 92821|USA|417 ASSOCIATED ROAD, PMB A-303||BREA CA 92821|USA|WANDA HERSHBERGER|714-256-1009|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/28/2005|0|0|0|0|0|0
Pacific 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
Pacific Regional Office| 113938|801-64061|CENTER FOR INVESTMENT MANAGEMENT, INC.|CENTER FOR INVESTMENT MANAGEMENT, INC.|12213 W. BELL ROAD|SUITE 209|SURPRISE AZ 85374|USA|||  ||MAX SMITH|623-583-6141|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/22/2005|0|0|0|0|0|0
Pacific Regional Office| 113962|801-60593|SANTA BARBARA INVESTMENT CAPITAL|SANTA BARBARA INVESTMENT CAPITAL|2220 SANTIAGO ROAD||SANTA BARBARA CA 93103|USA|||  ||WILLIAM R. BECKERS|805-963-2266|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|09/21/2001|0|0|0|0|0|0
Pacific 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
Pacific 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
Pacific 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
Pacific Regional Office| 114691|801-60629|THE YOUNG GROUP, INC.|THE YOUNG GROUP, INC.|4200 NORTH HIGHWAY 89-A||SEDONA AZ 86336|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
Pacific 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
Pacific Regional Office| 114738|801-60590|VANTIS CAPITAL MANAGEMENT LLC|VANTIS CAPITAL MANAGEMENT LLC|385 E. COLORADO BLVD., SUITE 250||PASADENA CA 91101|USA|||  ||ANDREW BZURA|626-529-9200|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/21/2001|0|0|0|0|0|0
Pacific 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
Pacific Regional Office| 114775|801-61235|PROSPERO CAPITAL MANAGEMENT,LLC|PROSPERO CAPITAL MANAGEMENT,LLC|500 NEWPORT CENTER DRIVE|SUITE 600|NEWPORT BEACH CA 92660|USA|||  ||BENJAMIN J. BORNSTEIN|(866)377-7677|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/10/2002|0|0|0|0|0|0
Pacific Regional Office| 114861|801-60483|ONE CAPITAL MANAGEMENT, LLC|ONE CAPITAL MANAGEMENT, LLC|5550 TOPANGA CANYON BLVD.,|SUITE 155|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
Pacific 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|||  ||SUZANNE L. BOND|619-398-1700|Corporation|Financial 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
Pacific 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
Pacific 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
Pacific Regional Office| 114981|801-62600|DENK INVESTMENT ADVISORY|DENK INVESTMENT ADVISORY, LTD|2702 N. 3RD. STREET|SUITE 4001|PHOENIX AZ 85004|USA|||  ||JENNIFER JACOBI|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
Pacific Regional Office| 115040|801-60786|CDR FINANCIAL PRODUCTS, INC.|RUBIN/CHAMBERS, DUNHILL INSURANCE SERVICES, INC.|9777 WILSHIRE BOULEVARD|SUITE 800|BEVERLY HILLS CA 90212|USA|||  ||SCOTT SOKOL|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
Pacific Regional Office| 115167|801-64700|CONTEXT CAPITAL MANAGEMENT LLC|CONTEXT CAPITAL MANAGEMENT LLC|12626 HIGH BLUFF DRIVE|SUITE 440|SAN DIEGO CA 92130|USA|||  ||KELLY SANDERSON|(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
Pacific 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.|GABRIEL WISDOM|858-755-0909|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|03/04/2002|0|1|0|0|0|0
Pacific 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
Pacific 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|APPROVED|09/19/2001|0|0|0|0|0|0
Pacific 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
Pacific Regional Office| 115749|801-63256|DIAMOND PORTFOLIO ADVISORS, LLC|DIAMOND PORTFOLIO ADVISORS, LLC|10940 WILSHIRE BLVD.|SUITE 600|LOS ANGELES CA 90024|USA|||  ||THOMAS M. WEARY|310-443-4156|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
Pacific 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, Publication of periodicals or newsletters|APPROVED|11/09/2001|0|0|0|0|0|0
Pacific Regional Office| 115994|801-62925|R.H. INVESTMENT GROUP, LLC|R.H. INVESTMENT GROUP, LLC|2243 E. NORA STREET||MESA AZ 85213|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
Pacific 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 THOMAS|(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
Pacific 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
Pacific Regional Office| 116590|801-60748|INTEGRATED FINANCIAL MANAGEMENT|BRIAN KEITH ROBERTS|970 ROAN COURT||FERNLEY NV 94523|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, Pension consulting services|APPROVED|12/06/2001|0|0|0|0|0|0
Pacific Regional Office| 116593|801-64200|WINDSOR FINANCIAL GROUP, LLC|WINDSOR FINANCIAL GROUP, 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)|APPROVED|04/28/2005|0|0|0|0|0|0
Pacific 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
Pacific Regional Office| 116913|801-62158|ANCHOR BAY CAPITAL MANAGEMENT, LLC|ANCHOR BAY CAPITAL MANAGEMENT, LLC|5780 FLEET ST.|SUITE 308|CARLSBAD CA 92008|USA|||  ||BRIAN JOHNSON|760-602-3470|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/19/2003|0|0|0|0|0|0
Pacific Regional Office| 116933|801-60717|SAGE FINANCIAL ADVISORS INC.|SAGE FINANCIAL ADVISORS INC.|6040 N. 7TH STREET|SUITE 104|PHOENIX AZ 85014-1803|USA|||  ||KELLY A. CHRISTENSEN|602/294-9272|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
Pacific Regional Office| 117330|801-64450|DECISION CAPITAL MANAGEMENT, LLC|DECISION CAPITAL MANAGEMENT, LLC|888 PROSPECT STREET|SUITE 210|LA JOLLA CA 92037|USA|||  ||KIM LYLE BRADFORD|858-729-0222|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/23/2005|0|1|0|0|0|0
Pacific Regional Office| 117426|801-65082|STROME INVESTMENT MANAGEMENT, L.P.|STROME INVESTMENT MANAGEMENT, L.P.|100 WILSHIRE BLVD.|SUITE 1500|SANTA MONICA CA 90401|USA|||  ||ELIZABETH GREENWOOD|(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
Pacific Regional Office| 117651|801-60736|PALMYRA CAPITAL ADVISORS, LLC|PALMYRA CAPITAL ADVISORS, LLC|11111 SANTA MONICA BOULEVARD|SUITE 1100|LOS ANGELES CA 90025|USA|||  ||VALERIE KIEFFER|310-689-1701|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/29/2001|0|0|0|0|0|0
Pacific 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|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
Pacific Regional Office| 117849|801-60787|LINDVALL CAPITAL MANAGEMENT, LLC|LINDVALL CAPITAL MANAGEMENT, LLC|1194 PACIFIC STREET|SUITE 205|SAN LUIS OBISPO CA 93401|USA|||  ||JOHN ROBERT LINDVALL|(805) 781-6006|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
Pacific 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
Pacific Regional Office| 118024|801-63878|PERMANENT VALUE INC.|PERMANENT VALUE INC.|591 CAMINO DE LA REINA|#424|SAN DIEGO CA 92108|USA|||  ||BRUCE DOOLE|619 682-3834|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|04/15/2005|0|0|0|0|0|0
Pacific 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
Pacific Regional Office| 118410|801-61120|BMB ADVISERS LLC|BMB ADVISERS LLC|2501 COLORADO AVENUE|SUITE 350|SANTA MONICA CA 90404|USA|||  ||WILLIAM BRODER|(310)449-6700|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
Pacific Regional Office| 118439|801-62176|AUTUS ASSET MANAGEMENT, LLC|AUTUS ASSET MANAGEMENT, LLC|8360 E. VIA DE VENTURA|SUITE L-225|SCOTTSDALE AZ 85258|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
Pacific 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
Pacific Regional Office| 118680|801-65511|CAPITAL STANDARD LLC|CAPITAL STANDARD LLC|7674 WEST LAKE MEAD BLVD.|SUITE 220|LAS VEGAS NV 89128|USA|||  ||THOMAS BARROW|(702) 944-1061|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
Pacific Regional Office| 118872|801-60921|PACIFIC COAST CAPITAL PARTNERS, LLC|CGKL VENTURES, LLC|1960 EAST GRAND AVE|SUITE 400|EL SEGUNDO CA 90245|USA|||  ||WILLIAM R. LINDSAY|310-414-7870|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/11/2002|0|1|0|0|0|0
Pacific 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
Pacific Regional Office| 118963|801-65195|ALDER CAPITAL, LLC|ALDER CAPITAL, LLC|12750 HIGH BLUFF DRIVE|SUITE 120|SAN DIEGO CA 92130|USA|||  ||JEFF M MCCARTHY|(858) 259-3900|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/18/2006|0|0|0|0|0|0
Pacific 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|||  ||THOMAS D. STEVENS|310-479-9901|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/25/2002|0|0|0|0|0|0
Pacific 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
Pacific Regional Office| 119290|801-60943|BEACON POINTE ADVISORS, LLC|BEACON POINTE ADVISORS, LLC|610 NEWPORT CENTER DRIVE SUITE 750||NEWPORT BEACH CA 92660|USA|||  ||SHANNON EUSEY|866-272-1272|Limited Liability Company|Financial planning 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
Pacific Regional Office| 119368|801-61506|LA JOLLA ECONOMICS|LA JOLLA ECONOMICS INC.|7608 LA JOLLA BOULEVARD||LA JOLLA CA 92307|USA|||  ||VICTOR A. CANTO|858-456-4567|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Other|APPROVED|10/11/2002|0|0|0|0|0|0
Pacific Regional Office| 119445|801-61358|REGAL ADVISORY SERVICES, INC.|REGAL ADVISORY SERVICES, INC.|300 E. STATE STREET|SUITE 500|REDLANDS CA 92373|USA|||  ||WILLIAM MALCOLM BEELER|909-335-1228|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
Pacific Regional Office| 119540|801-61074|LIDO ADVISORS|LIDO ADVISORS, INC.|9171 WILSHIRE BOULEVARD|SUITE 500|BEVERLY HILLS CA 90210|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
Pacific Regional Office| 119565|801-61058|GLENCREST INVESTMENT ADVISORS, INC.|GLENCREST INVESTMENT ADVISORS, INC.|1490 NORTH CLAREMONT BLVD.|SUITE 100|CLAREMONT CA 91711|USA|||  ||MICHAEL WIRTES|800-257-6650|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/09/2002|0|0|0|0|0|0
Pacific 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
Pacific Regional Office| 119662|801-61482|KOLL BREN SCHREIBER REALTY ADVISORS, LLC|KOLL BREN SCHREIBER REALTY ADVISORS, LLC|4343 VON KARMAN AVE.||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
Pacific Regional Office| 119691|801-64702|CARMEL CAPITAL ADVISORS, LLC|CARMEL CAPITAL ADVISORS, LLC|5355 MIRA SORRENTO PLACE|SUITE 230|SAN DIEGO CA 92121|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
Pacific 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
Pacific Regional Office| 119837|801-61127|TARA CONSULTING GROUP, INC.|TARA CONSULTING GROUP, INC.|3010 OLD RANCH PARKWAY|SUITE 350|SEAL BEACH CA 90740|USA|||  ||PHILIP RHEE|562-342-2901|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, Market timing services|APPROVED|02/11/2003|0|0|0|0|0|0
Pacific Regional Office| 119919|801-66206|LAURUS INVESTMENT MANAGEMENT, LLC|LAURUS INVESTMENT MANAGEMENT, LLC|15233 VENTURA BLVD.|#707|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
Pacific Regional Office| 120011|801-61016|ROBERT VENEZIA INVESTMENT GROUP|ROBERT VENEZIA INVESTMENT GROUP INC.|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
Pacific 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
Pacific 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
Pacific 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
Pacific Regional Office| 120232|801-63474|CAPITAL FINANCIAL ADVISORS|CAPITAL FINANCIAL ADVISORS, L.L.C.|3655 NOBEL DRIVE|SUITE 340|LA JOLLA CA 92122|USA|||  ||CHRISTOPHER VAN SLYKE|(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
Pacific Regional Office| 120240|801-61092|MAGEE THOMSON INVESTMENT PARTNERS, LLC|MAGEE THOMSON INVESTMENT PARTNERS, LLC|4445 EASTGATE MALL|SUITE 220|SAN DIEGO CA 92121|USA|||  ||KELLY THOMSON|858-713-7200|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
Pacific Regional Office| 120243|801-61243|MMGC FINANCIAL SERVICES|MMGC FINANCIAL SERVICES|7800 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
Pacific Regional Office| 120277|801-61100|LM CAPITAL GROUP, LLC|LM CAPITAL GROUP, LLC|401 B STREET, SUITE 920||SAN DIEGO CA 92101|USA|||  ||DENISE WARNER|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
Pacific 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, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/22/2004|0|0|0|0|0|0
Pacific 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
Pacific 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
Pacific Regional Office| 120440|801-61153|RESEARCH AFFILIATES|RESEARCH AFFILIATES, LLC|800 EAST COLORADO BLVD.|SUITE 870|PASADENA CA 91101|USA|||  ||JANINE NESBIT|(626)584-2165|Limited Liability Company|Portfolio management for investment companies, Other|APPROVED|05/10/2002|0|0|0|0|0|0
Pacific Regional Office| 120454|801-61141|CORE WEALTH MANAGEMENT, LLC|CORE WEALTH MANAGEMENT, LLC|740 STATE STREET, SUITE 202||SANTA BARBARA CA 93101|USA|||  ||STEVE ROTH|805-680-8804|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/02/2002|0|0|0|0|0|0
Pacific Regional Office| 120653|801-61172|ALLEGIANCE CAPITAL|ALLEGIANCE INVESTMENT MANAGEMENT, 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 investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/11/2002|0|0|0|0|0|0
Pacific Regional Office| 120747|801-61228|INLIGN WEALTH MANAGEMENT, LLC|INLIGN WEALTH MANAGEMENT, LLC|2355 EAST CAMELBACK ROAD|SUITE 750|PHOENIX AZ 85016|USA|||  ||BETH A. PRAGLIOLA|602-385-7563|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|06/05/2002|0|0|0|0|0|0
Pacific 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
Pacific Regional Office| 120805|801-64007|PARADIGM CAPITAL MANAGEMENT|PARADIGM CAPITAL MANAGEMENT|6170 RIDGEVIEW COURT, SUITE F||RENO NV 89509|USA|||  ||BRUCE HARVEY|775-829-8787|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|04/14/2005|0|0|0|0|0|0
Pacific Regional Office| 120821|801-65572|ATHENS CAPITAL MANAGEMENT LLC|ATHENS CAPITAL MANAGEMENT LLC|559 SAN YSIDRO ROAD, SUITE G||SANTA BARBARA CA 93108|USA|||  ||DAVID W. WEIG|(805) 565-4730|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
Pacific 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
Pacific 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
Pacific 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|Financial planning services, Pension consulting services, Selection of other advisers, Other|APPROVED|06/10/2002|0|0|0|0|0|0
Pacific 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
Pacific 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
Pacific Regional Office| 121254|801-66107|401(K) ADVISORS, INC.|401(K) ADVISORS, INC.|23461 SOUTH POINTE DRIVE|SUITE 100|LAGUNA HILLS CA 92653|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
Pacific Regional Office| 121336|801-61309|PENNIALL & ASSOCIATES, INC.|PENNIALL & ASSOCIATES, INC.|257 SOUTH FAIR OAKS, #200||PASADENA CA 91105|USA|||  ||ROGER J. CONDE|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
Pacific Regional Office| 121527|801-61704|THE COPELAND GROUP FINANCIAL ADVISORS|CHARLES P. COPELAND, INC.|25809 BUSINESS CENTER DRIVE|SUITE F|REDLANDS CA 92374|USA|||  ||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
Pacific 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|||  ||GERALD W. WHEELER|310 712-4022|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/01/2002|0|0|0|0|0|0
Pacific 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
Pacific 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
Pacific Regional Office| 122309|801-61556|FIELDS FINANCIAL ASSOCIATES, INC.|FIELDS FINANCIAL ASSOCIATES, INC.|2659 TOWNSGATE ROAD, SUITE 246||WESTLAKE VILLAGE CA 91361|USA|||  ||THOMAS FIELDS|805-446-4494|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|11/08/2002|0|0|0|0|0|0
Pacific Regional Office| 122342|801-64353|FINANCIAL CONCEPTS|TLW ENTERPRISES, INC.|3200 W. RAY ROAD|SUITE 100|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
Pacific 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
Pacific Regional Office| 122612|801-61904|ADAGIO FINANCIAL|ADAGIO FINANCIAL, LLC|595 DOUBLE EAGLE CT.|SUITE 2100|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), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|04/01/2003|0|1|0|0|0|0
Pacific Regional Office| 122718|801-63499|INVESTMENT MANAGEMENT CONSULTANTS|INVESTMENT MANAGEMENT CONSULTANTS|3131 MEADE AVENUE|SUITE A|LAS VEGAS NV 89102|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
Pacific 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
Pacific Regional Office| 123102|801-63601|THE RETIREMENT GROUP|CUENCA, FRANK AUGUSTINE|707 BROADWAY|#1200|SAN DIEGO CA 92101|USA|||  ||DAMIAN LIDDELL|619-230-9200|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
Pacific Regional Office| 123527|801-61548|PRIVATE EQUITY INVESTMENTS, INC.|PRIVATE EQUITY INVESTMENTS, INC.|3424 VIA OPORTO|SUITE 103 A|NEWPORT BEACH CA 92663|USA|3419 VIA LIDO|#351|NEWPORT BEACH CA 92663|USA|MR. BOB LANGSAM|(949)723-6702|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
Pacific 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), Selection of other advisers|APPROVED|11/29/2002|0|0|0|0|0|0
Pacific 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|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|01/21/2003|0|0|0|0|0|0
Pacific 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
Pacific 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
Pacific Regional Office| 123854|801-61581|QUINTILE INVESTMENT ADVISORS, LLC|QUINTILE INVESTMENT ADVISORS, LLC|11150 SANTA MONICA BOULEVARD|SUITE 400|LOS ANGELES CA 90025|USA|||  ||ROBERT MARC WAGMAN|310-806-4000|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|11/15/2002|0|0|0|0|0|0
Pacific 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
Pacific Regional Office| 123907|801-64695|CARMEL CAPITAL PARTNERS, LLC|CARMEL CAPITAL PARTNERS, LLC|5355 MIRA SORRENTO PLACE,|SUITE 230|SAN DIEGO CA 92121|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
Pacific 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|STEPHANIE REAGAN|310-455-4020|Limited Liability Company|Pension consulting services, Selection of other advisers, Other|APPROVED|11/19/2002|0|0|0|0|0|0
Pacific Regional Office| 124038|801-63046|CANON J. PRICE, INC.|CANON J. PRICE, INC.|499 NORTH CANON DRIVE|THIRD FLOOR|BEVERLY HILLS CA 90210|USA|||  ||CANON J. PRICE|310-887-3625|Corporation|Financial 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
Pacific 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), Pension consulting services, Selection of other advisers|APPROVED|07/15/2005|0|0|0|0|0|0
Pacific 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
Pacific Regional Office| 124352|801-61833|RAT ADVISORS LLC|RAT ADVISORY GROUP LLC|11333 NORTH SCOTTSDALE ROAD|SUITE 280|SCOTTSDALE AZ 85254-5185|USA|||  ||SARAH MARTEL|(480) 922-3123|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|03/07/2003|0|0|0|0|0|0
Pacific 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|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/17/2005|0|0|0|0|0|0
Pacific 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
Pacific 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, Selection of other advisers|APPROVED|12/10/2002|0|0|0|0|0|0
Pacific Regional Office| 124791|801-61873|OXFORD INVESTMENT PARTNERS, LLC|OXFORD INVESTMENT PARTNERS, LLC|5112 N. 40TH STREET|SUITE 103|PHOENIX AZ 85018|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|0|1|0|0|0
Pacific Regional Office| 124846|801-61807|TRENDPLUS ASSET MANAGEMENT LIMITED|TRENDPLUS ASSET MANAGEMENT LIMITED|SEACLIFF OFFICE PARK,|2134 MAIN STREET, SUITE 130|HUNTINGTON BEACH CA 92648|USA|16/F, TESBURY CENTRE|28 QUEEN'S ROAD EAST|HONG KONG  |CHINA|RODERICK NG|852 2715 2091|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Market timing services|APPROVED|02/20/2003|0|0|0|0|0|0
Pacific 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
Pacific 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
Pacific Regional Office| 125243|801-62730|WIMMER ASSOCIATES LLC|WIMMER ASSOCIATES I, LLC|350 WEST COLORADO BOULEVARD|SUITE 200|PASADENA CA 91105|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
Pacific Regional Office| 125275|801-63950|HILLEGAS ADVISORY SERVICES|HILLEGAS, CRAIG JAMES|1003 LAURA LANE||ESCONDIDO CA 92025|USA|||  ||CRAIG HILLEGAS|7604892781|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
Pacific 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|||  ||PESTER, TAMI M.|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
Pacific Regional Office| 125713|801-64157|INSPIRED FINANCIAL|INSPIRED FINANCIAL LLC|12387 LEWIS STREET|STE. 102|GARDEN GROVE CA 92840|USA|||  ||EVELYN ZOHLEN|714-971-0663|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|04/08/2005|0|0|0|0|0|0
Pacific 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
Pacific 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
Pacific Regional Office| 126103|801-62288|PREMIER FINANCIAL MANAGEMENT, LLC|PREMIER FINANCIAL MANAGEMENT, LLC|21515 HAWTHORNE BLVD.|SUITE 1050|TORRANCE CA 90503|USA|||  ||DEREK H. HOLMAN|(310) 543-4559|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/15/2003|0|0|0|0|0|0
Pacific Regional Office| 126186|801-62148|GLOBAL FIXED INCOME PARTNERS,LLC.|GLOBAL FIXED INCOME PARTNERS,LLC.|4590 MACARTHUR BLVD, SUITE 500||NEWPORT BEACH CA 92660|USA|||  ||RAM WILLNER|949-250-1111|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/24/2003|0|0|0|0|0|0
Pacific 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|823 SAN LUIS REY PL||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
Pacific 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
Pacific 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
Pacific 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
Pacific Regional Office| 126916|801-63592|BELLAMY FUND MANAGEMENT LLC|BELLAMY FUND MANAGEMENT LLC|738 HUNAKAI STREET||HONOLULU HI 96816-4911|USA|||  ||JASON BELLAMY|(808) 734-2320|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/19/2004|0|0|0|0|0|0
Pacific Regional Office| 126981|801-62086|MICHAEL J.D. MCCALL, INC.|MICHAEL J.D. MCCALL, INC.|234 SOUTH FIGUEROA STREET|SUITE 1936|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
Pacific 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
Pacific 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|0|0|0|0|0
Pacific 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
Pacific Regional Office| 127090|801-64562|NEPTUNE COMPANY MANAGEMENT ADVISORS, LLC|NEPTUNE COMPANY MANAGEMENT ADVISORS, LLC|31300 N. SCOTTSDALE ROAD||SCOTTSDALE AZ 85262|USA|P.O. BOX 27170||SCOTTSDALE AZ 85255|U.S.A.|BRENT NERGUIZIAN|480-922-1000|Limited Liability Company|Security ratings or pricing services, Other|APPROVED|08/10/2005|0|0|0|0|0|0
Pacific Regional Office| 127218|801-62116|NUVEEN INVESTMENTS INSTITUTIONAL SERVICES GROUP LLC|NUVEEN INVESTMENTS INSTITUTIONAL SERVICES GROUP LLC|2049 CENTURY PARK EAST 16TH FLOOR||LOS ANGELES CA 90067|USA|||  ||GERALD W. WHEELER|310-712-4022|Limited Liability Company|Other|APPROVED|06/11/2003|0|0|0|0|0|0
Pacific Regional Office| 127282|801-62267|BANKOH INVESTMENT PARTNERS, L.L.C.|BANKOH INVESTMENT PARTNERS, L.L.C.|130 MERCHANT STREET SUITE 530||HONOLULU HI 96813-4450|USA|||  ||DONALD G CHARLES|808-538-4758|Limited Liability Company|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
Pacific 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, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|07/09/2004|0|0|0|0|0|0
Pacific Regional Office| 127299|801-62126|STONE HARBOR ADVISORS, LLC|STONE HARBOR ADVISORS, LLC|1132 BISHOP STREET, SUITE 1580||HONOLULU HI 96813-2807|USA|||  ||MITCHELL B. PORTEN|(808) 441-4920|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/11/2003|0|0|0|0|0|0
Pacific 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|||  ||JUNZO MAKITA|(808) 956-1313|Limited Liability Company|Other|APPROVED|06/30/2004|0|0|0|0|0|0
Pacific Regional Office| 127480|801-62550|DIAMOND HEAD CAPITAL PARTNERS,L.P.|DIAMOND HEAD CAPITAL PARTNERS,L.P.|6600 KALANIANAOLE HIGHWAY,|SUITE 207|HONOLULU HI 96825|USA|||  ||CHRISTINE MA|808-395-0882|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/02/2004|0|0|0|0|0|0
Pacific 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, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/30/2005|0|0|0|0|0|0
Pacific Regional Office| 127711|801-62433|ORIGIN FINANCIAL GROUP LLC|ORIGIN FINANCIAL GROUP LLC|1100 WARD AVENUE, SUITE 730||HONOLULU HI 96814|USA|||  ||PAUL G ZEISEL|808-525-7725|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
Pacific Regional Office| 127737|801-63364|DAMITZ/SENTINEL WEALTH MANAGEMENT, LLC|DAMITZ/SENTINEL WEALTH MANAGEMENT, LLC|929 SANTA BARBARA ST||SANTA BARBARA CA 93101|USA|||  ||MATTHEW J. LUM|805-962-8455|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|07/30/2004|0|0|0|0|0|0
Pacific 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
Pacific Regional Office| 127924|801-62287|STRATEGIC FINANCIAL|STRATEGIC FINANCIAL|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|APPROVED|09/08/2003|0|0|0|0|0|0
Pacific 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
Pacific 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
Pacific 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|702-641-6464|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
Pacific 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
Pacific Regional Office| 128074|801-62930|RJL ADVISORS|RJL FINANCIAL NETWORK, L.L.C.|13520 EVENING CREEK DRIVE, NORTH|SUITE 300|SAN DIEGO CA 92128|USA|||  ||SONDRA FORKNER|619-497-5555|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|04/02/2004|0|0|0|0|0|0
Pacific Regional Office| 128117|801-62687|BRISTLECONE VALUE PARTNERS, LLC|BRISTLECONE VALUE PARTNERS, LLC|10880 WILSHIRE BOULEVARD, SUITE 880||LOS ANGELES CA 90024|USA|||  ||DAVID FLEER|310-806-4141|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/15/2004|0|0|0|0|0|0
Pacific Regional Office| 128151|801-64511|SOHO CAPITAL LLC|SOHO CAPITAL LLC|2933 GRAND AVENUE|SUITE B|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
Pacific 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 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
Pacific 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
Pacific Regional Office| 128288|801-62309|WEALTH MANAGEMENT RESOURCES, LLC|WEALTH MANAGEMENT RESOURCES, LLC|5710 CRESCENT PARK EAST, STE. 428||PLAYA VISTA CA 90094|USA|||  ||SUSAN H. WAGNER|310-439-1500|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|08/29/2003|0|0|0|0|0|0
Pacific 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
Pacific Regional Office| 128473|801-62367|LIVE OAK CAPITAL, LLC|LIVE OAK CAPITAL, LLC|2535 TOWNSGATE ROAD|SUITE 310|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
Pacific Regional Office| 128557|801-62417|ALCENTRA, INC.|ALCENTRA, INC.|150 SOUTH RODEO DRIVE|SUITE 230|BEVERLY HILLS CA 90212-2408|USA|||  ||STEPHEN BRUCE|310-281-5904|Corporation|Other|APPROVED|10/06/2003|0|0|0|0|0|0
Pacific 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
Pacific 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
Pacific 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
Pacific 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
Pacific 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), Selection of other advisers|APPROVED|01/09/2004|0|0|0|0|0|0
Pacific Regional Office| 129053|801-62559|D3 CAPITAL MANAGEMENT, LLC|D3 CAPITAL MANAGEMENT, LLC|10990 WILSHIRE BOULEVARD|SUITE 1400|LOS ANGELES CA 90024|USA|||  ||NATHAN FISCHEL|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
Pacific Regional Office| 129104|801-62533|AFA ADVISOR SERVICES LLC|AFA ADVISOR SERVICES LLC|26637 WEST AGOURA ROAD|SUITE 100|CALABASAS CA 91302|USA|||  ||PAUL OKAWA|818 708-0111|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), Selection of other advisers|APPROVED|12/01/2003|0|1|0|0|0|0
Pacific 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
Pacific 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
Pacific Regional Office| 129562|801-65021|ORBACH WATERS ADVISORS, INC.|ORBACH WATERS ADVISORS, INC.|2212 DUPONT DRIVE|SUITE L|IRVINE CA 92612|USA|||  ||T. RANDOLPH ORBACH|949-757-0333|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
Pacific 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
Pacific 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
Pacific 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|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
Pacific Regional Office| 129898|801-62893|GR CAPITAL ASSET MANAGEMENT, LLC|GR CAPITAL ASSET MANAGEMENT, LLC|1224 COAST VILLAGE CIRCLE|SUITE 11|SANTA BARBARA CA 93108|USA|||  ||LISA BOULTER|805-565-2170|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
Pacific 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|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
Pacific Regional Office| 130007|801-62759|HAVERFORD FINANCIAL SERVICES, INC.|HAVERFORD FINANCIAL SERVICES, INC.|2049 CENTURY PARK KEAST|SUITE 2130|LOS ANGELES CA 90067|USA|||  ||MARIEELENA V. NESS|610-293-7200|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
Pacific 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|602-920-4570|Limited Liability Company|Pension consulting services, Selection of other advisers, Other|APPROVED|04/30/2004|0|0|0|0|0|0
Pacific Regional Office| 130028|801-62978|GROWTH STRATEGIES, LLC|GROWTH STRATEGIES, LLC|520 BROADWAY|SUITE 350|SANTA MONICA CA 90401|USA|||  ||MARK C. JOHNSON|310-496-4335|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
Pacific Regional Office| 130074|801-63800|ARES MANAGEMENT LLC|ARES MANAGEMENT LLC|1999 AVENUE OF THE STARS,|SUITE 1900|LOS ANGELES CA 90067|USA|||  ||KEVIN FRANKEL|310-201-4205|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/31/2005|0|0|0|0|0|0
Pacific 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
Pacific 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
Pacific 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
Pacific 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
Pacific 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
Pacific Regional Office| 130496|801-62826|PREMIER FINANCIAL PLANNING, LLP|PREMIER FINANCIAL PLANNING, LLP|433 WEST GRAND AVENUE||ESCONDIDO CA 92025|USA|||  ||PATRICIA C. PATTERSON|760-796-5550|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|02/26/2004|0|0|0|0|0|0
Pacific Regional Office| 130593|801-63407|FOX ADVISOR GROUP|J.C. FOX & CO INCORPORATED|6232 N. 32ND ST.||PHOENIX AZ 85018|USA|||  ||JAMES W. MOLDERMAKER|602-971-9000|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-120|08/18/2004|0|5|0|0|0|0
Pacific Regional Office| 130618|801-62879|STARFISH PARTNERS|STARFISH PARTNERS L.L.C.|300 NORTH LAKE AVENUE|PENTHOUSE SUITE|PASADENA CA 91101-4106|USA|||  ||BRUCE G. KENNEDY|(626) 395-5549|Limited Liability Company|Other|APPROVED|03/10/2004|0|0|0|0|0|0
Pacific Regional Office| 130624|801-63002|DIAMOND HERITAGE, LLC|DIAMOND HERITAGE, LLC|515 SOUTH FIGUEROA STREET|SUITE 1100|LOS ANGELES CA 90071-3328|USA|||  ||MELODY D. PEPI|(213) 683-4606|Limited Liability Company|Financial planning services, 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
Pacific Regional Office| 130651|801-65018|ASCENTIA CAPITAL PARTNERS, LLC|ASCENTIA CAPITAL PARTNERS, LLC|9408 DOUBLE R BOULEVARD|SUITE B|RENO NV 89521|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
Pacific 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
Pacific Regional Office| 130779|801-62907|NEOSHO CAPITAL LLC|NEOSHO CAPITAL LLC|12707 HIGH BLUFF DRIVE|SUITE 200|SAN DIEGO CA 92130|USA|||  ||CHRIS RICHEY|858 350 4200|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
Pacific Regional Office| 130841|801-62915|CAPITAL FINANCIAL MANAGEMENT|SHELDON, KIRK ROY|2525 CAMINO DEL RIO SOUTH|SUITE 160|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
Pacific Regional Office| 130922|801-63049|BRICOLEUR CAPITAL MANAGEMENT|BRICOLEUR CAPITAL MANAGEMENT, LLC|12230 EL CAMINO REAL|SUITE 100|SAN DIEGO CA 92130|USA|||  ||STACY FOSTER|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
Pacific 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
Pacific 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
Pacific 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
Pacific Regional Office| 131097|801-64987|KWK MANAGEMENT LLC|KWK MANAGEMENT LLC|601 S. FIGUEROA ST.|SUITE 1475|LOS ANGELES CA 90017|USA|||  ||CAROL K.S. WEISS|213-614-1918|Limited Liability Company|Other|APPROVED|12/08/2005|0|0|0|0|0|0
Pacific 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
Pacific Regional Office| 131140|801-63031|BRIAN CARRUTHERS & ASSOCIATES|CARRUTHERS, BRIAN, ROGER|7755 CENTER AVENUE, SUITE 1100||HUNTINGTON BEACH CA 92647|USA|||  ||BRIAN R. CARRUTHERS|714-372-7206|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|04/13/2004|0|0|0|0|0|0
Pacific 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), Selection of other advisers, Other|APPROVED|04/30/2004|0|0|0|0|0|0
Pacific 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|||  ||EDGAR A. ROBIE, JR.|805-882-1100|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/29/2004|0|0|0|0|0|0
Pacific 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|||  ||STEPHEN PROUGH|310-806-4200|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
Pacific 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
Pacific Regional Office| 131458|801-63078|WATTS GWILLIAM & COMPANY, LLC|WATTS GWILLIAM & COMPANY, LLC|960 W. ELLIOT RD. STE 112||TEMPE AZ 85284|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
Pacific 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
Pacific Regional Office| 131563|801-63129|GREENBOOK INVESTMENT MANAGEMENT, INC.|GREENBOOK INVESTMENT MANAGEMENT, INC.|450 B STREET|11TH FLOOR|SAN DIEGO CA 92101|USA|||  ||PAUL E. DUNN|866-350-4237|Corporation|Financial planning services, Portfolio management 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|05/14/2004|0|0|0|0|0|0
Pacific Regional Office| 131619|801-63168|ARES CAPITAL MANAGEMENT LLC|ARES CAPITAL MANAGEMENT LLC|1999 AVENUE OF THE STARS|SUITE 1900|LOS ANGELES CA 90067|USA|||  ||KEVIN FRANKEL|310-201-4205|Limited Liability Company|Other|APPROVED|05/18/2004|0|0|0|0|0|0
Pacific 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
Pacific Regional Office| 131660|801-65209|AMERICAN ASSETS INVESTMENT MANAGEMENT, LLC|AMERICAN ASSETS INVESTMENT MANAGEMENT, LLC|11455 EL CAMINO REAL|SUITE 363|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
Pacific 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|602-235-2663|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
Pacific Regional Office| 131725|801-63301|BREAKWATER FUND MANAGEMENT, LLC|BREAKWATER FUND MANAGEMENT, LLC|11111 SANTA MONICA BLVD.|SUITE 1110|LOS ANGELES CA 90025|USA|||  ||GREGORY A. JORDAN|310-914-9670|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/29/2004|0|0|0|0|0|0
Pacific Regional Office| 131836|801-63228|RHG ADVISORS LLC|RHG ADVISORS LLC|7700 E. EVENING GLOW DRIVE||SCOTTSDALE AZ 85262-1295|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
Pacific Regional Office| 131878|801-64331|BENEFIT FUNDING SERVICES GROUP|401K BFSG, INC.|2040 MAIN ST|#150|IRVINE CA 92614|USA|||  ||JOHN CAMPBELL|949 955 5781|Corporation|Pension consulting services|APPROVED|05/23/2005|0|0|0|0|0|0
Pacific 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
Pacific Regional Office| 131982|801-63423|INVESTMENT CONSULTING|MARVIN G. BROWN|12802 E. CUESTA||CERRITOS CA 90703|USA|||  ||JARDINE WILSON|562-208-3832|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, Other|APPROVED|08/06/2004|0|0|0|0|0|0
Pacific 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
Pacific Regional Office| 132093|801-63302|WATERLINE PARTNERS, LLC|WATERLINE PARTNERS, LLC|6701 CENTER DRIVE WEST|SUITE 955|LOS ANGELES CA 90045|USA|||  ||JEFFERY LEE COYLE|310-242-6827|Limited Liability Company|Financial 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
Pacific 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
Pacific 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
Pacific 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 individuals and/or small businesses|APPROVED|08/27/2004|0|0|0|0|0|0
Pacific Regional Office| 132225|801-63328|IFC RETIREMENT ADVISORS, INC.|IFC RETIREMENT ADVISORS, INC.|2301 ROSECRANS AVENUE|SUITE 3165|EL SEGUNDO CA 90245|USA|||  ||GARY J CAINE|310-297-9605|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|07/02/2004|0|0|0|0|0|0
Pacific Regional Office| 132295|801-63394|CHATTERTON & ASSOCIATES, THE WEALTH MANAGEMENT TEAM, INC.|CHATTERTON & ASSOCIATES, THE WEALTH MANAGEMENT TEAM, INC.|151 NORTH KRAEMER BLVD.|SUITE 101|PLACENTIA CA 92870|USA|||  ||ROBERT D. CHATTERTON, JR.|714-572-2050|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|08/06/2004|0|0|0|0|0|0
Pacific 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
Pacific 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
Pacific 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 individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/02/2004|0|0|0|0|0|0
Pacific Regional Office| 132553|801-63477|A.Q. JOHNSON & CO., INC.|A.Q. JOHNSON & CO., INC.|1150 SILVERADO STREET|#223|LA JOLLA CA 92037|USA|||  ||ARTHUR Q. JOHNSON|(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
Pacific 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|||  ||LANCELOTT KINKEAD|213-533-8288|Limited Liability Company|Other|APPROVED|01/13/2006|0|0|1|0|0|0
Pacific Regional Office| 132659|801-63504|PACIFIC ISLANDS FINANCIAL MANAGEMENT, LLC|PACIFIC ISLANDS FINANCIAL MANAGEMENT, LLC|1244 KAUMUALII STREET||HONOLULU HI 96817|USA|||  ||DAVID KIRKEBY|808-441-4747|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
Pacific Regional Office| 132684|801-64762|SIERRA LIQUIDITY FUND, LLC|SIERRA ASSET MANAGEMENT, LLC|2699 WHITE ROAD|SUITE 255|IRVINE CA 92614|USA|||  ||JAMES S. RILEY|949-660-1144, EXT. 16|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|10/19/2005|0|0|0|0|0|0
Pacific 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
Pacific 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
Pacific 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
Pacific Regional Office| 133202|801-63676|UNIFIED WEALTH MANAGEMENT, LLC|UNIFIED WEALTH MANAGEMENT, LLC.|7025 N. SCOTTSDALE RD|SUITE 110|SCOTTSDALE AZ 85253|USA|||  ||RICHARD BOEHM|480-668-3016|Limited Liability Company|Financial planning services, 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
Pacific 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
Pacific Regional Office| 133318|801-63642|CLEARWATER ASSET MANAGEMENT, LLC|CLEARWATER FINANCIAL SERVICES, 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
Pacific Regional Office| 133342|801-63661|ANDEX LIMITED, INC.|ANDEX LIMITED, INC.|19000 MACARTHUR BLVD.|SUITE 500|IRVINE CA 92612|USA|||  ||ANSSY A. OKOEBOR|949-252-8700|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED-120|11/17/2004|0|0|0|0|0|0
Pacific Regional Office| 133387|801-63715|OMNICAP GROUP LLC|OMNICAP GROUP LLC|2425 SILVERSTRAND AVE||HERMOSA BEACH CA 90254|USA|||  ||MARCIA QUIROZ|909-932-1155|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
Pacific 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
Pacific 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|APPROVED|01/03/2005|0|0|0|0|0|0
Pacific Regional Office| 133563|801-63848|MERRITHEW & THORENSTEN, INC.|MERRITHEW & THORENSTEN, INC.|9820 WILLOW CREEK ROAD, SUITE 260||SAN DIEGO CA 92131|USA|||  ||LESLIE R MERRITHEW|858-547-1845|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|08/16/2005|0|0|0|0|0|0
Pacific 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
Pacific 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
Pacific 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
Pacific Regional Office| 133658|801-63960|RAWDIN-BARON FINANCIAL, INC.|RAWDIN-BARON FINANCIAL, INC.|1621 GRAND AVENUE SUITE C|PO BOX 90487|SAN DIEGO CA 92169-2487|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
Pacific 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
Pacific Regional Office| 133683|801-63927|SANTA BARBARA QUANTITATIVE STRATEGIES, LLC|SANTA BARBARA QUANTITATIVE STRATEGIES, LLC|21 EL PASEO BUILDING||SANTA BARBARA CA 93101-2230|USA|||  ||RODERICK HARE|(805)730-7725|Limited Liability Company|Other|APPROVED|02/15/2005|0|0|0|0|0|0
Pacific 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
Pacific Regional Office| 133719|801-63805|OLYMPUS INVESTMENT MANAGEMENT, LLC|OLYMPUS INVESTMENT MANAGEMENT, LLC|7842 W. SAHARA AVE. #130||LAS VEGAS NV 89117|USA|||  ||RICK PHILLIPS|702-327-8009|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
Pacific Regional Office| 133763|801-64721|AIG FINANCIAL ADVISORS, INC.|AIG FINANCIAL ADVISORS, INC.|2800 NORTH CENTRAL AVENUE|SUITE 2100|PHOENIX AZ 85004|USA|||  ||LISA VILLARREAL|602-744-3219|Corporation|Financial planning 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-120|10/03/2005|0|3|2|0|0|0
Pacific Regional Office| 133776|801-63810|FARAH ADVISORY SERVICES, LLC|FARAH ADVISORY SERVICES, LLC|901 DOVE STREET, SUITE 120||NEWPORT BEACH CA 92660|USA|||  ||FARAH, MICHAEL P.|949-251-8877|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|01/28/2005|0|0|0|0|0|0
Pacific 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
Pacific 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
Pacific Regional Office| 133881|801-63923|NEWPORT CAPITAL ASSET MANAGEMENT GROUP, LLC|NEWPORT CAPITAL ASSET MANAGEMENT GROUP, LLC|895 BAJA ST.||LAGUNA BEACH CA 92651|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
Pacific 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|310-951-0921|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
Pacific 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
Pacific Regional Office| 134021|801-63945|TEN ASSET MANAGEMENT, INC.|TEN ASSET MANAGEMENT, INC.|171 SAXONY ROAD|SUITE 105|ENCINITAS CA 92024|USA|||  ||ANNE STEVENS|760 943-7799|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/11/2005|0|0|0|0|0|0
Pacific Regional Office| 134084|801-63931|THE FIRM OF DENNIS M. BREEN III|BREEN III, DENNIS M.|6818 N. ORACLE RD. SUITE 420||TUCSON AZ 85704-4249|USA|||  ||DENNIS M. BREEN III|520-742-0808|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/11/2005|0|1|1|0|0|0
Pacific Regional Office| 134197|801-63904|TRILOGY INVESTMENT MANAGEMENT, LLC|TRILOGY INVESTMENT MANAGEMENT, LLC|121 SO. ROYAL ASCOT DRIVE||LAS VEGAS NV 89144-4308|USA|||  ||CHRISTIAN R. BLUNK/ROBERT H. BERKSHIRE|(402) 827-7000|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/03/2005|0|0|0|0|0|0
Pacific 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|||  ||DANIEL P. WIMSATT|858-350-1077|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/09/2005|0|0|0|0|0|0
Pacific Regional Office| 134330|801-63934|DREXEL, MORGAN & COMPANY|DREXEL, MORGAN & COMPANY|2049 CENTURY PARK EAST|SUITE 2130|LOS ANGELES CA 90067|USA|||  ||RICHARD D. HUGHES|310-551-4100|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), Selection of other advisers|APPROVED|03/15/2005|0|0|0|0|0|0
Pacific 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|602-381-3986|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
Pacific 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
Pacific Regional Office| 134577|801-64268|THEMIS ASSET STRATEGIES, LLC|THEMIS ASSET STRATEGIES, LLC|1999 AVENUE OF THE STARS, 39TH FLOOR||LOS ANGELES CA 90067|USA|||  ||WILLIAM MILLER|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
Pacific Regional Office| 134600|801-64376|UNITED CAPITAL FINANCIAL ADVISERS, INC.|UNITED CAPITAL FINANCIAL ADVISERS, INC.|450 NEWPORT CENTER DRIVE|SUITE 400|NEWPORT BEACH CA 92660|USA|||  ||CARYN WESTMAN|949-706-6444|Corporation|Financial planning services|APPROVED|06/09/2005|0|0|0|0|0|0
Pacific 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
Pacific Regional Office| 134627|801-64375|UNITED CAPITAL INVESTMENT ADVISERS, INC|UNITED CAPITAL INVESTMENT ADVISERS, INC|450 NEWPORT CENTER DRIVE|SUITE 400|NEWPORT BEACH CA 92660|USA|||  ||CARYN WESTMAN|949-706-6444|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|06/09/2005|0|0|0|0|0|0
Pacific 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-120|11/21/2005|0|1|0|0|0|0
Pacific Regional Office| 134851|801-64091|MULHOLLAND CAPITAL ADVISORS, LLC|MULHOLLAND CAPITAL ADVISORS, LLC|1999 AVENUE OF THE STARS|SUITE 1100|LOS ANGELES CA 90067-4618|USA|||  ||BRUCE ELIOT|310-356-4628|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
Pacific 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
Pacific Regional Office| 134971|801-66249|ROCKWATER HEDGE, LLC|ROCKWATER HEDGE, LLC|620 NEWPORT CENTER DRIVE|SUITE 540|NEWPORT BEACH CA 92660|USA|||  ||BRYAN R. WILLIAMS|949-721-5550|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|02/21/2006|0|0|0|0|0|0
Pacific Regional Office| 135044|801-64174|ACACIA WEALTH ADVISORS, LLC|ACACIA WEALTH ADVISORS, LLC|2049 CENTURY PARK EAST|SUITE 2151|LOS ANGELES CA 90067|USA|||  ||ALEV T. LEWIS|310-203-8001|Limited Liability Company|Financial planning 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
Pacific 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
Pacific Regional Office| 135162|801-64520|APPLIED STRATEGIES AND COUNSEL, INC.|APPLIED STRATEGIES AND COUNSEL, INC.|14354 NORTH FRANK LLOYD WRIGHT BOULEVARD|SUITE 14|SCOTTSDALE AZ 85250|USA|||  ||CHARLES D. HOLLANDER JR.|888-700-2033|Corporation|Financial planning services, 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
Pacific 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
Pacific 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|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
Pacific Regional Office| 135326|801-64312|COMBEST FINANCIAL SERVICES, INC.|COMBEST FINANCIAL SERVICES, INC.|675 S. MAIN STREET||CORONA CA 92882|USA|||  ||ROBERT J. MARTIN|951-520-0061|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/26/2005|0|0|0|0|0|0
Pacific Regional Office| 135434|801-65229|VOYAGER MANAGEMENT, LLC|VOYAGER MANAGEMENT, LLC|1401 OCEAN AVENUE|SUITE 305|SANTA MONICA CA 90401|USA|||  ||GEORGE J. OLAH|310-395-9876|Limited Liability Company|Other|APPROVED|01/20/2006|0|0|0|0|0|0
Pacific Regional Office| 135521|801-64410|ENVISION CAPITAL MANAGEMENT, LLC|ENVISION CAPITAL MANAGEMENT, LLC|19800 MACARTHUR BLVD|SUITE 680|IRVINE CA 92612|USA|19800 MACARTHUR BLVD #680||IRVINE CA 92612|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
Pacific Regional Office| 135666|801-64669|ANCHOR WEALTH MANAGEMENT, LLC|ANCHOR WEALTH MANAGEMENT, LLC|17870 CASTLETON ST.|SUITE 250|CITY OF INDUSTRY CA 91748|USA|||  ||JACK C. LEE|626-810-2885|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|08/26/2005|0|0|0|0|0|0
Pacific Regional Office| 135676|801-64422|SEAHORSE CAPITAL, INC.|SEAHORSE CAPITAL, INC.|7590 FAY AVENUE|SUITE 521|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-120|07/05/2005|0|0|0|0|0|0
Pacific Regional Office| 135701|801-64438|EAST WEST WEALTH MANAGEMENT, LLC|EAST WEST CAPITAL MANAGEMENT, LLC|55 MERCHANT STREET, 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
Pacific 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|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|06/23/2005|0|0|0|0|0|0
Pacific Regional Office| 135733|801-64432|TELESIS CAPITAL, LLC|TELESIS CAPITAL, LLC|MARINA STUDIOS, 4223 GLENCOE AVENUE|SUITE B-113|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
Pacific 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
Pacific Regional Office| 135861|801-64428|GPS PARTNERS LLC|GPS PARTNERS LLC|100 WILSHIRE BLVD.|SUITE 900|SANTA MONICA CA 90401|USA|||  ||JEFF FARRON|310-496-5365|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
Pacific Regional Office| 135916|801-64575|ARQUE & CO INCORORATED|ARQUE & CO INCORORATED|27520 HAWTHORNE BOULEVARD|SUITE 288|ROLLING HILL ESTATES CA 90274|USA|||  ||AUDREY M. KUWABARA|310-544-7870|Corporation|Selection of other advisers, Other|APPROVED-120|09/19/2005|0|0|0|0|0|0
Pacific Regional Office| 136054|801-65891|BEL AIR FINANCIAL GROUP LLC|BEL AIR FINANCIAL GROUP LLC|1264 OZETA TERRACE, #102||WEST HOLLYWOOD CA 90069|USA|||  ||ROBERT PAGLIARINI|310-770-0994|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED-120|01/24/2006|0|0|0|0|0|0
Pacific 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|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/12/2005|0|0|0|0|0|0
Pacific Regional Office| 136207|801-66078|CAPITALWORKS QED|CAPITALWORKS QED LLC|5701 E. ABBEY RD||FLAGSTAFF AZ 86004-5807|USA|||  ||GLENN BOSSOW|415-444-0482|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/31/2006|0|0|0|0|0|0
Pacific Regional Office| 136303|801-66045|RBR CAPITAL MANAGEMENT, L.P.|RBR CAPITAL MANAGEMENT, L.P.|349 RICHMOND STREET||EL SEGUNDO CA 90245|USA|||  ||ROY MOLINA|310-640-6666|Partnership|Other|APPROVED|02/01/2006|0|0|0|0|0|0
Pacific 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-120|07/20/2005|0|0|0|0|0|0
Pacific Regional Office| 136413|801-64741|WCM CAPITAL, INC.|WCM CAPITAL, INC.|15303 VENTURA BOULEVARD|SUITE 1510|SHERMAN OAKS CA 91403|USA|||  ||ALAN SCHRAM|818.380.8161|Corporation|Other|APPROVED|10/12/2005|0|0|0|0|0|0
Pacific Regional Office| 136422|801-66175|QUANTS INVESTORS, INC.|QUANTS INVESTORS, INC.|2270 KALAKAUA AVE.|SUITE 712|HONOLULU HI 96815|USA|||  ||ATSUKO N. KURATANI|(808) 351-5167|Corporation|Portfolio management for investment companies|APPROVED-120|01/31/2006|0|0|0|0|0|0
Pacific 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
Pacific Regional Office| 136577|801-64637|SAGE CAPITAL ADVISORS, LLC|SAGE CAPITAL ADVISORS, LLC|8880 RIO SAN DIEGO DRIVE, 8TH FLOOR||SAN DIEGO CA 92108|USA|||  ||DIANA BLAIR|619-209-6176|Limited Liability Company|Financial planning services, 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
Pacific Regional Office| 136736|801-64831|SUGARMAN, JASON ADAM|SUGARMAN, JASON ADAM|26 CORPORATE PLAZA|SUITE 250|NEWPORT BEACH CA 92660|USA|||  ||JASON ADAM SUGARMAN|949-729-1660|Sole Proprietorship|Other|APPROVED|11/16/2005|0|0|0|0|0|0
Pacific Regional Office| 136745|801-64693|BILTMORE WEALTH ADVISERS, LLC|BILTMORE WEALTH ADVISERS, LLC|2710 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-120|09/06/2005|0|0|0|0|0|0
Pacific Regional Office| 136753|801-64750|PI CAPITAL|PI CAPITAL INC.|9420 WILSHIRE BLVD.|SUITE 350|BEVERLY HILLS CA 90212|USA|||  ||JAMES HARRIS|310-385-7725|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|10/03/2005|0|0|0|0|0|0
Pacific Regional Office| 136822|801-64709|ICP STRATEGIC ADVISORS, LLC|ICP STRATEGIC ADVISORS, LLC|6909 EAST MAIN STREET||SCOTTSDALE AZ 85251-4311|USA|||  ||G. DAVID UNDERWOOD, CFA|480-874-0275|Limited Liability Company|Other|APPROVED-120|09/29/2005|0|0|0|0|0|0
Pacific Regional Office| 136914|801-64689|WESTWOOD ASSET MANAGEMENT, LLC|WESTWOOD ASSET MANAGEMENT, LLC|1063 GAYLEY AVENUE|2ND FLOOR|LOS ANGELES CA 90024|USA|||  ||BRIAN 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
Pacific Regional Office| 136929|801-64707|JLF ASSET MANAGEMENT, L.L.C.|JLF ASSET MANAGEMENT, L.L.C.|2775 VIA DE LA VALLE, SUITE 204||DEL MAR CA 92014|USA|||  ||ERIC LIEBERMAN|201 934 8312|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/29/2005|0|0|0|0|0|0
Pacific Regional Office| 136968|801-64888|SIRIUS ADVISORS LLC|SIRIUS ADVISORS LLC|820 MANHATTAN AVE|STE 202|MANHATTAN BEACH CA 90266|USA|1601 N SEPULVEDA #734||MANHATTAN BEACH CA 90266|USA|DAVID BRADLEY|310-601-7718|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/03/2006|0|0|0|0|0|0
Pacific Regional Office| 136984|801-64818|YIM INVESTMENT MANAGEMENT, LLC|YIM CAPITAL MANAGEMENT, LLC|1221 KAPIOLANI BLVD.|#6E|HONOLULU HI 96814|USA|||  ||SUSIE L. ING|808-591-9088|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies|APPROVED|12/01/2005|0|1|0|0|0|0
Pacific Regional Office| 137308|801-65498|HERMES ADVISORS, LLC|HERMES ADVISORS, LLC|420 STEVENS AVENUE, SUITE 220||SOLANA BEACH CA 92075|USA|||  ||PAUL K. FLATHER|(858) 523-1755|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|01/24/2006|0|0|0|0|0|0
Pacific Regional Office| 137341|801-64819|SADDLE PEAK ASSET MANAGEMENT, LLC|SADDLE PEAK ASSET MANAGEMENT, LLC|1299 OCEAN AVENUE|SUITE 313|SANTA MONICA CA 90401|USA|||  ||PETER LONDON|310-656-7600|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|11/04/2005|0|0|0|0|0|0
Pacific 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
Pacific Regional Office| 137432|801-64921|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 businesses or institutional clients (other than investment companies)|APPROVED-120|12/09/2005|0|0|0|0|0|0
Pacific Regional Office| 137439|801-65008|LOWE ENTERPRISES RESIDENTIAL ADVISORS|LOWE ENTERPRISES RESIDENTIAL ADVISORS, LLC|2020 MAIN STREET|SUITE 1150|IRVINE CA 92614|USA|11777 SAN VICENTE BLVD|SUITE 900|LOS ANGELES CA 90049|USA|JOHN M. DEMARCO|310-571-4286|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|12/12/2005|0|0|0|0|0|0
Pacific Regional Office| 137470|801-65513|INVESTMENT COUNSELORS OF REDLANDS LLC|INVESTMENT COUNSELORS OF REDLANDS LLC|101 E. REDLANDS BLVD. #138||REDLANDS CA 92373|USA|||  ||PATRICK J. BURNS, JR.|909.792.0711|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED-120|01/23/2006|0|0|0|0|0|0
Pacific Regional Office| 137485|801-65869|AKANTHOS CAPITAL MANAGEMENT, LLC|AKANTHOS CAPITAL MANAGEMENT, LLC|21700 OXNARD STREET|SUITE 1520|WOODLAND HILLS CA 91367|USA|||  ||K. KRISTINA RIETZ|818-456-5220|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/30/2006|0|0|0|0|0|0
Pacific Regional Office| 137487|801-66164|ALTERNATIVE DEBT PORTFOLIOS, LLC|ALTERNATIVE DEBT PORTFOLIOS, LLC|790 IDA COURT||INCLINE VILLAGE NV 89451|USA|||  ||ERIC GANGLOFF|775-831-2773|Limited Liability Company|Other|APPROVED|01/30/2006|0|0|0|0|0|0
Pacific 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-120|11/18/2005|0|0|0|0|0|0
Pacific Regional Office| 137673|801-64843|ANCORA WEST ADVISORS|ANCORA WEST ADVISORS, LLC|595 DOUBLE EAGLE CT.|SUITE 2050|RENO NV 89521|USA|P.O. BOX 19427||RENO NV 89511|USA|JOSHUA BARONE|775-846-8163|Limited Liability Company|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|10/21/2005|0|0|0|0|0|0
Pacific Regional Office| 137737|801-65750|EVOLUTION CAPITAL MANAGEMENT, LLC|EVOLUTION CAPITAL MANAGEMENT, LLC|1132 BISHOP STREET, SUITE 1880||HONOLULU HI 96813|USA|||  ||RICHARD CHISHOLM|808-441-4917|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/26/2006|0|0|0|0|0|0
Pacific 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-120|01/27/2006|0|0|0|0|0|0
Pacific 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-120|11/10/2005|0|0|0|0|0|0
Pacific Regional Office| 137784|801-64979|MMS CAPITAL MANAGEMENT, LLC|MMS CAPITAL MANAGEMENT, LLC|9191 TOWNE CENTRE DRIVE|SUITE 406|SAN DIEGO CA 92122|USA|||  ||CONSTANCE L. GIBBS|858-320-2801|Limited Liability Company|Other|APPROVED-120|01/09/2006|0|0|0|0|0|0
Pacific 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-120|01/19/2006|0|0|0|0|0|0
Pacific Regional Office| 137876|801-64957|QUALITY FINANCIAL PLANNING, LLC|QUALITY FINANCIAL PLANNING, LLC|4455 EAST CAMELBACK ROAD|SUITE 244C|PHOENIX AZ 85018-2898|USA|||  ||FRANK F. BELL|602-553-0202|Limited Liability Company|Financial planning services, 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|12/05/2005|0|0|0|0|0|0
Pacific Regional Office| 137884|801-65885|OAK HILL REIT MANAGEMENT, LLC|OAK HILL REIT MANAGEMENT, LLC|4400 MACARTHUR BOULEVARD|SUITE 740|NEWPORT BEACH CA 92660|USA|||  ||JOHN HEROLD|949-975-0500|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/26/2006|0|0|0|0|0|0
Pacific 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|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|02/24/2006|0|0|0|0|0|0
Pacific Regional Office| 138013|801-65864|BLUE CIELO CAPITAL MANAGEMENT, LLC|BLUE CIELO CAPITAL MANAGEMENT, LLC|39 CALLE GUIJARRO||SAN CLEMENTE CA 92673|USA|1001 AVENIDA PICO, SUITE C-518||SAN CLEMENTE CA 92673|USA|ANDREW J. BLOUNT|(949) 612-6380|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED-120|01/30/2006|0|0|0|0|0|0
Pacific Regional Office| 138107|801-65458|TORREY PINES CAPITAL MANAGEMENT, LP|TORREY PINES CAPITAL MANAGEMENT, LP|12220 EL CAMINO REAL, SUITE 401||SAN DIEGO CA 92130|USA|||  ||DEREK GAERTNER|(858) 704-5038|Partnership|Other|APPROVED|02/01/2006|0|0|0|0|0|0
Pacific 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
Pacific Regional Office| 138223|801-65013|MCCOMSEY ASSET MANAGEMENT, LLC|MCCOMSEY ASSET MANAGEMENT, LLC|11400 W. OLYMPIC BLVD.|SUITE 300|LOS ANGELES CA 90064|USA|||  ||MARK 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
Pacific Regional Office| 138278|801-65098|HE'E NALU INVESTING, INC.|HE'E NALU INVESTING, INC.|2404 FAIRCROSS STREET||TORRANCE CA 90505|USA|2785 PACIFIC COAST HIGHWAY|#619|TORRANCE CA 90505-7066|USA|W. DAVID BUSS|213-220-0141|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED-120|01/12/2006|0|0|0|0|0|0
Pacific 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-120|01/30/2006|0|0|0|0|0|0
Pacific Regional Office| 138374|801-65444|REGAL WEALTH GROUP INC.|REGAL WEALTH GROUP INC.|1250 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, Selection of other advisers, Other|APPROVED-120|01/23/2006|0|0|0|0|0|0
Pacific Regional Office| 138448|801-65483|BIG SKY CAPITAL, LLC|BIG SKY CAPITAL, LLC|100 WILSHIRE BLVD., SUITE 940||SANTA MONICA CA 90401|USA|||  ||CHRIS GAUGHAN|310-394-2377|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/10/2006|0|0|0|0|0|0
Pacific Regional Office| 138476|801-65208|TRADEWINDS NWQ GLOBAL INVESTORS, LLC|TRADEWINDS NWQ GLOBAL INVESTORS, LLC|2049 CENTURY PARK EAST|18TH FLOOR|LOS ANGELES CA 90067-3120|USA|||  ||GERALD W. WHEELER|310 712-4022|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
Pacific 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-120|01/27/2006|0|0|0|0|0|0
Pacific Regional Office| 138693|801-65242|MEISENBACH CAPITAL MANAGEMENT, INC.|MEISENBACH CAPITAL MANAGEMENT, INC.|12636 HIGH BLUFF DRIVE|SUITE 220|SAN DIEGO CA 92130|USA|||  ||ANDREW H. WILBUR|858-259-3923|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/06/2006|0|0|0|0|0|0
Pacific 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
Pacific Regional Office| 138980|801-65689|GIOVINE CAPITAL GROUP LLC|GIOVINE CAPITAL GROUP LLC|601 S. FIGUEROA ST., STE 4590||LOS ANGELES CA 90017|USA|||  ||JOHN KU|213-797-2008|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/2006|0|0|0|0|0|0
Pacific 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|||  ||JON SCHOTZ|310-899-9200|Limited Liability Company|Other|APPROVED-120|02/01/2006|0|1|0|0|0|0
Pacific 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
Pacific 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-120|02/01/2006|0|3|0|0|0|0
Pacific 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
Pacific Regional Office| 139153|801-66209|TKI CAPITAL MANAGEMENT L.P.|TKI CAPITAL MANAGEMENT L.P.|335 NORTH MAPLE DRIVE|SUITE 235|BEVERLY HILLS CA 90210-5947|USA|||  ||TOMAS KIRVAITIS|310-734-0050|Partnership|Other|APPROVED|02/15/2006|0|0|0|0|0|0
Pacific Regional Office| 139165|801-66115|THOMSON FINANCIAL ADVISORS LLC.|THOMSON FINANCIAL ADVISORS LLC.|10360 E.JENAN DRIVE||SCOTTSDALE AZ 85260|USA|||  ||LINDSAY THOMSON|480-661-5051|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED-120|02/08/2006|0|0|0|0|0|0
Pacific Regional Office| 139279|801-66345|MACQUARIE FUNDS MANAGEMENT|MACQUARIE FUNDS MANAGEMENT (USA) INC.|701 PALOMAR AIRPORT ROAD|SUITE 300|CARLSBAD CA 92009|USA|||  ||ROSE BARRY|212 231-1572|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|03/09/2006|0|1|0|0|0|0
Pacific Regional Office| 139401|801-66142|CARMICHAEL STRATEGIES LLC|CARMICHAEL STRATEGIES LLC|2415 E CAMELBACK ROAD SUITE 700||PHOENIX AZ 85016|USA|||  ||RALPH W CARMICHAEL|(480) 664-1979|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
Pacific Regional Office| 139785|801-66386|CLARIVEST ASSET MANAGEMENT LLC|CLARIVEST ASSET MANAGEMENT LLC|550 DEEP VALLEY DRIVE|SUITE 293|ROLLING HILLS ESTATES CA 90274|USA|||  ||DANIEL KANG|310-750-3600|Limited Liability Company|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
Philadelphia District 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|BRADLEY A. BROWN|804-344-3532|Corporation|Financial planning 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|01/31/2005|0|15|0|0|0|0
Philadelphia District 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 District Office|    145|801-60395|LINCOLN FINANCIAL DISTRIBUTORS, INC.|LINCOLN FINANCIAL DISTRIBUTORS, INC.|TWO COMMERCE SQUARE|2001 MARKET STREET|PHILADELPHIA PA 19103|USA|350 CHURCH STREET, MLB1||HARTFORD CT 06103||PATRICK J. CAULFIELD|(860)466-1838|Corporation|Other|APPROVED|07/12/2001|0|20|2|0|0|0
Philadelphia District Office|    285|801-7393|FERRIS, BAKER WATTS INCORPORATED|FERRIS, BAKER WATTS INCORPORATED|1700 PENNSYLVANIA AVE, NW, SUITE 700||WASHINGTON DC 20006|USA|100 LIGHT STREET|9TH FLOOR|BALTIMORE MD 21202|US|CHRISTINE D. BUTTON|410-468-2826|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/25/1971|0|3|0|0|0|0
Philadelphia District Office|    319|801-13545|FOLGER NOLAN FLEMING DOUGLAS CAPITAL MANAGEMENT, INC.|FOLGER NOLAN FLEMING DOUGLAS CAPITAL MANAGEMENT, INC.|901 15TH STREET N.W., STE 300||WASHINGTON DC 20005|USA|725 15TH STREET N.W.||WASHINGTON DC 20005|U.S.A|FOSTER, RICHARD S.|202-626-5249|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|2|0|0|0|0
Philadelphia District Office|    463|801-7258|JANNEY MONTGOMERY SCOTT LLC|JANNEY MONTGOMERY SCOTT LLC|1801 MARKET STREET||PHILADELPHIA PA 19103|USA|||  ||JEROME LOMBARD|215-665-6608|Limited Liability Company|Financial planning services, Portfolio management for 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|14|0|0|0|0
Philadelphia District 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|215-887-8111|Corporation|Financial planning 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|09/11/1978|0|5|0|0|0|0
Philadelphia District 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|LAURA E. AMORY|(804)697-2930|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|06/02/1977|0|6|0|0|0|0
Philadelphia District Office|   1763|801-56879|H. BECK, INC.|H. BECK, INC.|11140 ROCKVILLE PIKE, 4TH FLOOR||ROCKVILLE MD 20852|USA|||  ||MICHAEL POSTON|301-468-0100|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|10/06/1999|0|7|0|0|0|0
Philadelphia District 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 District 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|15|1|0|0|0
Philadelphia District 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 District Office|   4031|801-56151|HORNOR, TOWNSEND & KENT, INC.|HORNOR, TOWNSEND & KENT, INC.|600 DRESHER RD|STE C1C|HORSHAM PA 19044|USA|||  ||NINA MULROONEY|215-956-8100|Corporation|Financial planning services, 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|7|0|0|0|0
Philadelphia District 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 DUFFUS|302-453-3800|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|09/05/1991|0|15|0|0|0|0
Philadelphia District Office|   4090|801-55431|CAPITOL ADVISORY CORPORATION|CAPITOL ADVISORY CORPORATION|7918 JONES BRANCH DRIVE|SUITE 800|MCLEAN VA 22102|USA|50 ROWES WHARF|SUITE 420|BOSTON MA 22102|USA|JOSEPH A. JIANOS|617 897 8501|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|04/24/1998|0|2|0|0|0|0
Philadelphia District Office|   5478|801-9678|CAPITAL ANALYSTS, INCORPORATED|CAPITAL ANALYSTS, INCORPORATED|3 RADNOR CORPORATE CENTER|STE 220|RADNOR PA 19087|USA|||  ||LESLIE DURANT|610-995-1512|Corporation|Financial planning services, Portfolio management 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|12/17/1973|0|8|3|0|0|0
Philadelphia District 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 businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/20/1992|0|16|0|0|0|0
Philadelphia District 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 District Office|   6555|801-6767|LEGG MASON WOOD WALKER INC|LEGG MASON WOOD WALKER, INCORPORATED|100 LIGHT ST||BALTIMORE MD 21202-1036|USA|||  ||ISRAEL GRAFSTEIN|212-816-5906|Corporation|Financial planning services, Portfolio management 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|08/05/1970|2|70|0|0|0|0
Philadelphia District Office|   6940|801-44569|COMMERCE CAPITAL MARKETS, INC.|COMMERCE CAPITAL MARKETS, INC.|2005 MARKET STREET, SUITE 200||PHILADELPHIA PA 19103|USA|||  ||STANLEY A. GREGOR|215-282-4420|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/28/1993|0|4|0|0|0|0
Philadelphia District 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|DEBORAH S. STETTER|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|2|0|0|0|0
Philadelphia District Office|   7597|801-57662|ALLEGHENY INVESTMENTS, LTD.|ALLEGHENY INVESTMENTS, LTD.|STONE QUARRY CROSSING|811 CAMP HORNE ROAD, SUITE 100|PITTSBURGH PA 15237|USA|||  ||PHILLIP M. GALLAGHER|(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|1|0|0|0|0
Philadelphia District Office|  10556|801-63402|LARA, SHULL & MAY, LTD.|LARA, SHULL & MAY, LTD.|8000 TOWERS CRESCENT DRIVE|SUITE 660|VIENNA VA 22182-2700|USA|||  ||JENNIFER SZARO|703-827-2300|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/19/2004|0|7|0|0|0|0
Philadelphia District Office|  11025|801-57434|WACHOVIA SECURITIES FINANCIAL NETWORK, LLC|WACHOVIA SECURITIES FINANCIAL NETWORK, LLC|901 EAST BYRD STREET|WS1042|RICHMOND VA 23219|USA|||  ||MARGARET SNEAD|804-398-5586|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|04/03/2000|0|69|3|0|0|0
Philadelphia District Office|  14169|801-41033|CAPITOL SECURITIES MANAGEMENT, INC.|CAPITOL SECURITIES MANAGEMENT, INC.|7918 JONES BRANCH DR|STE 800|MCLEAN VA 22102|USA|||  ||GARDNER, JASON L.|703-269-2428|Corporation|Financial planning services, 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|2|0|0|0|0
Philadelphia District Office|  14894|801-46021|CHEVY CHASE FINANCIAL SERVICES|CHEVY CHASE SECURITIES, INC.|7501 WISCONSIN AVENUE||BETHESDA MD 20814|USA|||  ||THOMAS MUDLAFF|240-297-7254|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 District Office|  14942|801-56738|WILMINGTON BROKERAGE SERVICES COMPANY|WILMINGTON BROKERAGE SERVICES COMPANY|1100 NORTH MARKET STREET||WILMINGTON DE 19890|USA|||  ||ROBERT MICHAEL FOX|302-651-8941|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|09/03/1999|0|18|0|0|0|0
Philadelphia District Office|  15275|801-34541|PHILADELPHIA CORPORATION FOR INVESTMENT SERVICES|PHILADELPHIA CORPORATION FOR INVESTMENT SERVICES|ONE LIBERTY PL|1650 MARKET ST STE 3050|PHILADELPHIA PA 19103|USA|||  ||MATTHEW D KELLY|(610)975-9100|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/01/1989|0|0|0|0|0|0
Philadelphia District 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)|APPROVED|04/23/2002|0|0|0|0|0|0
Philadelphia District 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|0|0|0|0|0
Philadelphia District 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 District Office|  17058|801-60229|EQUITY CAPITAL MANAGEMENT|BPU INVESTMENT GROUP, INC.|3 PPG PLACE SUITE 500||PITTSBURGH PA 15222-5403|USA|||  ||CARL ANTHONY ANTONUCCI|412-227-3747|Corporation|Financial 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|05/18/2001|0|1|0|0|0|0
Philadelphia District Office|  17427|801-21444|H.L. ZEVE ASSOCIATES, INC.|H.L. ZEVE ASSOCIATES, INC.|600 THREE PPG PLACE||PITTSBURGH PA 15222|USA|||  ||CALHOUN, J. PATRICIA|412-281-4567|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|05/24/1984|0|0|0|0|0|0
Philadelphia District Office|  18196|801-7020|WIDMANN, SIFF & CO., INC.|WIDMANN, SIFF & CO., INC.|551 WEST LANCASTER AVENUE|SUITE 304|HAVERFORD PA 19041|USA|||  ||KIM M. DAVIS|610-520-0500|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|11/20/1970|0|2|0|0|0|0
Philadelphia District Office|  19616|801-37967|WACHOVIA SECURITIES, LLC|WACHOVIA SECURITIES, LLC|901 EAST BYRD STREET|WS1042|RICHMOND VA 23219|USA|P. O. BOX 1357|MAIL CODE WS1042|RICHMOND VA 23218-1357|USA|MARGARET C. SNEAD|804-398-5586|Limited Liability Company|Financial planning services, Portfolio management 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|13|238|6|0|0|0
Philadelphia District 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 District Office|  21304|801-63913|OLDE ECONOMIE FINANCIAL CONSULTANTS, LTD.|OLDE ECONOMIE FINANCIAL CONSULTANTS, LTD.|511 STATE STREET||BADEN PA 15005-1738|USA|||  ||JOHN TOTH|724-869-7526|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Market timing services|APPROVED|03/01/2005|0|1|1|0|0|0
Philadelphia District Office|  21675|801-32675|DIRECTED SERVICES, INC.|DIRECTED SERVICES, INC.|1475 DUNWOODY DRIVE||WEST CHESTER PA 19380|USA|||  ||JAMES SHUCHART|610-425-3563|Corporation|Portfolio management for investment companies, Selection of other advisers, Other|APPROVED|11/10/1988|0|8|1|0|0|0
Philadelphia District Office|  22471|801-32522|LAFAYETTE INVESTMENTS, INC.|LAFAYETTE INVESTMENTS, INC.|17830 NEW HAMPSHIRE AVENUE|SUITE 103|ASHTON MD 20861|USA|||  ||JUDGE, LAWRENCE|301-570-1250|Corporation|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 District Office|  23742|801-33881|YANNI PARTNERS, INC.|YANNI PARTNERS, INC.|310 GRANT STREET|SUITE 3000|PITTSBURGH PA 15219-2302|USA|||  ||THERESA A. SCOTTI|412-232-1000|Corporation|Pension consulting services, Selection of other advisers|APPROVED|03/15/1989|0|0|0|0|0|0
Philadelphia District Office|  30177|801-42007|HUNTER ASSOCIATES, INC.|HUNTER ASSOCIATES, INC.|436 SEVENTH AVENUE|KOPPERS BUILDING, FIFTH FLOOR|PITTSBURGH PA 15219-1818|USA|||  ||GENEVRO, KIMBERLY ANNE|412-471-4191|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 District Office|  34939|801-45618|TIFF ADVISORY SERVICES, INC.|TIFF ADVISORY SERVICES, INC.|590 PETER JEFFERSON PARKWAY|SUITE 250|CHARLOTTESVILLE VA 22911|USA|||  ||LEITER, TINA MARIE|434-817-8200|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|03/15/1994|0|0|0|0|0|0
Philadelphia District Office|  35041|801-64488|SAUNDERS RETIREMENT ADVISORS, INC.|SAUNDERS RETIREMENT ADVISORS, INC.|5516 SILVER BIRCH LANE||MIDLOTHIAN VA 23112|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 District 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|4|0|0|0|0
Philadelphia District 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 District 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|Portfolio management for individuals and/or small businesses|APPROVED|06/14/2001|0|0|0|0|0|0
Philadelphia District Office|  40130|801-51127|RUBICON WEALTH MANAGEMENT|RUBICON HOLDINGS INCORPORATED|ONE BELMONT AVENUE, SUITE 602||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|APPROVED|02/02/1996|0|0|0|0|0|0
Philadelphia District Office|  40655|801-51863|LOCKWOOD FINANCIAL SERVICES, INC|LOCKWOOD FINANCIAL SERVICES, INC.|10 VALLEY STREAM PKWY||MALVERN PA 19355|USA|||  ||MICHELLE M. LOGUE|610-651-8836|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|05/15/1996|0|56|0|0|0|0
Philadelphia District 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 District Office|  46173|801-58108|PARK AVENUE SECURITIES LLC|PARK AVENUE SECURITIES LLC|81 HIGHLAND|B-260|BETHLEHEM PA 18017|USA|||  ||JAMES CLEMENTS|610-807-7780|Limited Liability Company|Financial planning services, Portfolio management for 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|13|0|0|0|0
Philadelphia District Office|  46640|801-61639|FCA ASSOCIATES|FINANCIAL CORPORATION OF AMERICA, INC.|10220 RIVER ROAD|SUITE 105|POTOMAC MD 20854|USA|||  ||JEFFREY L GAGE|301 983 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|02/21/2003|0|0|0|0|0|0
Philadelphia District Office| 104028|801-57883|MICG INVESTMENT MANAGEMENT|MICG INVESTMENT MANAGEMENT|11815 FOUNTAIN WAY|SUITE 400|NEWPORT NEWS VA 23606|USA|||  ||JEFFREY A MARTINOVICH|757-952-1800|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
Philadelphia District Office| 104513|801-18801|FINANCIAL SERVICES ADVISORY INC|FINANCIAL SERVICES ADVISORY INC|ONE CHURCH STREET, #901||ROCKVILLE MD 20850|USA|||  ||PETERSEN, DAVID R.|301-949-7300|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/21/1983|0|0|0|0|0|0
Philadelphia District 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 District 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 District Office| 104566|801-49550|MATTHEW 25 MANAGEMENT CORP|MATTHEW 25 MANAGEMENT CORP|607 WEST AVE||JENKINTOWN PA 19046|USA|||  ||MULHOLLAND, MARK|215-884-4458|Corporation|Portfolio management for investment companies|APPROVED|07/03/1995|0|0|0|0|0|0
Philadelphia District 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 District 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 District 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 investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/18/1998|0|0|0|0|0|0
Philadelphia District Office| 104577|801-46896|ARIS WEALTH SERVICES INC|ARIS WEALTH SERVICES INC|270 WALKER DR||STATE COLLEGE PA 16804|USA|P.O. BOX 1318||STATE COLLEGE PA 16804|USA|JOHN BATTAGLIA|(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 District Office| 104585|801-55408|AMERITOR FINANCIAL CORP|AMERITOR FINANCIAL CORP|4400 MAC ARTHUR 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 District Office| 104600|801-28328|BASE MANAGEMENT CO|BASE MANAGEMENT CO|1107 KENILWORTH DR.|RIDERWOOD BLDG, SUITE 206|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 District Office| 104610|801-31624|FINANCIAL ADVANTAGE INC|FINANCIAL ADVANTAGE INC|10025 GOV. WARFIELD PKWY|SUITE 108|COLUMBIA MD 21044-3308|USA|||  ||CHRISTOPHER P PARR|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 District 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|0|0|0|0|0
Philadelphia District 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 District Office| 104618|801-14191|SPC FINANCIAL INC|SPC FINANCIAL INC|3202 TOWER OAKS BLVD|SUITE 400|ROCKVILLE MD 20852|USA|||  ||SELLA, EDWARD GEOFFREY|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|0|1|0|0|0
Philadelphia District 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 District 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 District 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|0|0|0|0|0
Philadelphia District Office| 104636|801-17534|RICHMOND CAPITAL MANAGEMENT INC|RICHMOND CAPITAL MANAGEMENT INC|10800 MIDLOTHIAN TURNPIKE STE 217||RICHMOND VA 23235-0061|USA|||  ||WALKER, MARK JACKSON|804-379-4947|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/02/1982|0|0|0|0|0|0
Philadelphia District Office| 104644|801-33838|SCHOFIELD FINANCIAL COUNSELING|SCHOFIELD DOUGLAS FRANKLIN|267 BLUE RUN ROAD||CHESWICK PA 15024|USA|267 BLUE RUN RD.||CHESWICK PA 15024|USA|SCHOFIELD, DOUGLAS F|412-767-7043|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 District Office| 104648|801-3396|CHASE INVESTMENT COUNSEL CORPORATION|CHASE INVESTMENT COUNSEL CORPORATION|300 PRESTON AVE STE 403||CHARLOTTESVILLE VA 22902-5091|USA|||  ||TERESA R. POOLE|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 District 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 District 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 District 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|0|0|0|0|0
Philadelphia District 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 District 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|||  ||PHILLIP M. GALLAGHER|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|0|0|0|0|0
Philadelphia District 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 District 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 District 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 District Office| 104743|801-31518|FREED MYERS|SUSAN FREED & ASSOCIATES, INC.|2 WISCONSIN CIRCLE - SUITE 530||CHEVY CHASE MD 20815|USA|||  ||MYERS, JENNIFER E.|301 657-1700|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|02/25/1988|0|0|0|0|0|0
Philadelphia District 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 District Office| 104762|801-35829|INDEPENDENCE ADVISORS INC|INDEPENDENCE ADVISORS INC|620 LEE ROAD, SUITE 100||WAYNE PA 19087|USA|||  ||BROWN, JAMES D|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 District Office| 104763|801-31841|STRATEGIC INVESTMENT MANAGEMENT INTERNATIONAL, L.P.|STRATEGIC INVESTMENT MANAGEMENT INTERNATIONAL, L.P.|1001 19TH ST N., 16TH FL||ARLINGTON VA 22209-1722|USA|||  ||GROSSFIELD, KENNETH I.|703-243-4433|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|APPROVED|04/15/1988|0|0|0|0|0|0
Philadelphia District 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 individuals and/or small businesses, 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 District 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|||  ||WILLIAMS DENISE CLARK|215-569-2224|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/09/1986|0|2|0|0|0|0
Philadelphia District Office| 104803|801-30743|STRATEGIC INVESTMENT PARTNERS, INC|STRATEGIC INVESTMENT PARTNERS, INC|1001 19TH ST. N., 16TH FL||ARLINGTON VA 22209-1722|USA|||  ||GROSSFIELD, KENNETH I.|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 District Office| 104804|801-18338|SCHIAVI & CO|SCHIAVI & CO|TWO MILL ROAD|SUITE 204|WILMINGTON DE 19806|USA|||  ||SCHIAVI, VINCENT A|302-656-4472|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/31/1983|0|0|0|0|0|0
Philadelphia District Office| 104812|801-24702|QUAKER CAPITAL MANAGEMENT CORP|QUAKER CAPITAL MANAGEMENT CORP|401 WOOD ST SUITE 1300|THE ARROTT BUILDING|PITTSBURGH PA 15222-1824|USA|||  ||FALLGREN, DAVID R|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 District Office| 104817|801-18876|SYMONS CAPITAL MANAGEMENT INC|SYMONS CAPITAL MANAGEMENT INC|250 MT. LEBANON BLVD, STE 301||PITTSBURGH PA 15234-1248|USA|||  ||SVIDRO, TERESA L|412-344-7690|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/26/1983|0|0|0|0|0|0
Philadelphia District Office| 104821|801-30740|EMERGING MARKETS INVESTORS CORPORATION|EMERGING MARKETS INVESTORS CORPORATION|1001 19TH STREET NORTH 17TH FL||ARLINGTON VA 22209-1722|USA|||  ||WALKER, BRIAN E.|703-243-8800|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/01/1987|0|0|0|0|0|0
Philadelphia District 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 District 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 District Office| 104857|801-28692|MELLON EQUITY ASSOCIATES LLP|MELLON EQUITY ASSOCIATES LLP|500 GRANT ST|SUITE 4200|PITTSBURGH PA 15258-0001|USA|||  ||GULASKY, SUSANNE M.|412-234-5463|Limited Liability Partnership|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/08/1987|0|0|0|0|0|0
Philadelphia District 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|||  ||GROSSFIELD, KENNETH I.|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 District Office| 104866|801-28763|FOXHALL CAPITAL MANAGEMENT, INC.|FOXHALL CAPITAL MANAGEMENT, INC.|1613 DUKE ST||ALEXANDRIA VA 22314|USA|||  ||PAUL 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), Publication of periodicals or newsletters|APPROVED|01/16/1987|0|1|0|0|0|0
Philadelphia District Office| 104925|801-29045|DORSEY WRIGHT MONEY MANAGEMENT|DORSEY, WRIGHT & ASSOCIATES, INC.|8014 MIDLOTHIAN TURNPIKE|SUITE 201|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 District 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 District 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|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/21/1986|0|5|0|0|0|0
Philadelphia District 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 District Office| 104965|801-8681|STRATTON MANAGEMENT CO|STRATTON MANAGEMENT CO|610 W GERMANTOWN PIKE|SUITE 300|PLYMOUTH MTG PA 19462|USA|||  ||JOANNE E. KUZMA|610-941-0888|Corporation|Portfolio 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 District Office| 104967|801-11312|OFI INSTITUTIONAL ASSET MANAGEMENT, INC.|TRINITY INVESTMENT MANAGEMENT CORP|301 NORTH SPRING ST||BELLEFONTE PA 16823|USA|||  ||ROBERT ZACK|212-323-0322|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|02/05/1976|0|21|1|0|0|0
Philadelphia District 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 District Office| 105033|801-36476|GARDNER LEWIS ASSET MANAGEMENT LP|GARDNER LEWIS ASSET MANAGEMENT LP|285 WILMINGTON WEST CHESTER PIKE||CHADDS FORD PA 19317|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 District Office| 105083|801-23441|YORKTOWN MANAGEMENT AND RESEARCH CO INC|YORKTOWN MANAGEMENT AND RESEARCH CO INC|2303 YORKTOWN AVE||LYNCHBURG VA 24501|USA|||  ||FOSTER, CHARLES DOUGLAS|(434) 846-1361|Corporation|Portfolio management for investment companies|APPROVED|02/11/1985|0|0|0|0|0|0
Philadelphia District Office| 105099|801-21084|AMERICAN ASSET MANAGEMENT GROUP INC|AMERICAN ASSET MANAGEMENT GROUP INC|226 NORTH ADAMS STREET||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), Market timing services|APPROVED|05/03/1984|0|0|0|0|0|0
Philadelphia District Office| 105103|801-20812|HUFF, STUART & CARLTON|MONEYWISE INC|2107 GRAVES MILL RD, STE C||FOREST VA 24551|USA|||  ||HUFF, RICK A.|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 District 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|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/08/1986|0|0|0|0|0|0
Philadelphia District 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 District 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|36|7|0|0|0
Philadelphia District 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 District Office| 105146|801-24593|SEI INVESTMENTS MANAGEMENT CORP|SEI INVESTMENTS MANAGEMENT CORP|ONE FREEDOM VALLEY DRIVE||OAKS PA 19456|USA|||  ||MICHAEL T. BROPHY|(610) 676-2972|Corporation|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|06/27/1985|0|1|0|0|0|0
Philadelphia District Office| 105152|801-35942|MMA ADVISORY SERVICES, INC.|MMA ADVISORY SERVICES, INC.|THE PIER IV BUILDING|621 EAST PRATT STREET, 3RD FLOOR|BALTIMORE MD 21202|USA|||  ||JEFFREY C. WOLFE|617-790-4776|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/14/1990|0|0|0|0|0|0
Philadelphia District 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 District Office| 105171|801-21425|REMBERT PENDLETON & FOX|REMBERT PENDLETON & FOX, 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 District 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 District 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|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 District 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 District 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, Pension consulting services|APPROVED|01/13/1989|0|0|0|0|0|0
Philadelphia District 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 District Office| 105244|801-33743|OLD DOMINION CAPITAL MANAGEMENT INC.|OLD DOMINION CAPITAL MANAGEMENT INC.|815 E. JEFFERSON STREET||CHARLOTTESVILLE VA 22902-5131|USA|||  ||CHILDRESS, JAMES M.|434-977-1550|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|01/03/1989|0|0|0|0|0|0
Philadelphia District Office| 105257|801-454|BISHOP & ASSOCIATES INC|BISHOP & ASSOCIATES INC|1617 JOHN F KENNEDY BLVD|SUITE 1610|PHILADELPHIA PA 19103|USA|||  ||YARMOYLK, PHILIP J.|215-568-5450|Corporation|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 District 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 District 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), Pension consulting services|APPROVED|10/03/1986|0|1|0|0|0|0
Philadelphia District 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 District Office| 105315|801-22127|RTE ASSET MANAGEMENT|RIGHTIME ECONOMETRICS INC|1650 MARKET STREET|53RD FLOOR|PHILA 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)|APPROVED|09/20/1984|0|0|1|0|0|0
Philadelphia District Office| 105322|801-22100|DEAK REYNOLDS CO|DEAK REYNOLDS CO|18599 PLEASANT MANOR RD||ST. MARYS CITY MD 20686|USA|P.O. BOX D||ST. MARY'S CITY MD 20686|USA|REYNOLDS, H. K.|301-862-1933|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|08/24/1984|0|0|0|0|0|0
Philadelphia District 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)|APPROVED|06/12/1989|0|0|0|0|0|0
Philadelphia District 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 District Office| 105390|801-32108|DELAWARE MANAGEMENT BUSINESS TRUST|DELAWARE MANAGEMENT BUSINESS TRUST|2005 MARKET STREET||PHILADELPHIA PA 19103-7098|USA|||  ||BRIAN L. MURRAY|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|3|2|0|0|0
Philadelphia District 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|Publication of periodicals or newsletters, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/03/1986|0|1|0|0|0|0
Philadelphia District 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 District 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 District 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 District Office| 105410|801-26083|WILLIS INVESTMENT MANAGEMENT CO|WILLIS INVESTMENT MANAGEMENT CO|501 FAULCONER DR., STE 2B||CHARLOTTESVILLE VA 22903|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 District Office| 105413|801-31311|POTOMAC FUND MANAGEMENT|POTOMAC FUND MANAGEMENT INC|21 N. HANSON ST|SUITE 203|EASTON MD 21601|USA|||  ||PALAMARAS, MARK JAMES|410-820-0548|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|02/04/1988|0|0|0|0|0|0
Philadelphia District 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 District 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 District Office| 105449|801-14713|T ROWE PRICE INTERNATIONAL, INC|T ROWE PRICE INTERNATIONAL, INC|100 EAST PRATT STREET||BALTIMORE MD 21202|USA|||  ||HOPKINS,HENRY|410-345-6640|Corporation|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|07/12/1979|0|0|9|0|0|0
Philadelphia District Office| 105496|801-856|T. ROWE PRICE ASSOCIATES, INC.|T. ROWE PRICE ASSOCIATES, INC.|100 E PRATT ST||BALTIMORE MD 21202|USA|||  ||HOPKINS, HENRY H.|410-345-6640|Corporation|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 District Office| 105510|801-19548|HENRY H. ARMSTRONG ASSOCIATES, INC.|HENRY H. ARMSTRONG ASSOCIATES, INC.|1706 ALLEGHENY TOWER|625 STANWIX ST|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 District Office| 105512|801-17044|CALVERT ASSET MANAGEMENT CO INC|CALVERT ASSET MANAGEMENT COMPANY, INC.|4550 MONTGOMERY AVE. STE 1000N||BETHESDA MD 20814|USA|4550 MONTGOMERY AVE., STE. 1000N||BETHESDA MD 20814|USA|LILLIE, EDITH|(301) 951-4881|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|04/29/1982|0|4|5|0|0|0
Philadelphia District 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 District 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 District 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 District 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 District 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, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/11/1985|0|0|0|0|0|0
Philadelphia District Office| 105611|801-36440|CAPITAL ADVISORY GROUP|CAPGROUP INVESTMENT ADVISORS, INC.|7100 FOREST AVENUE, SUITE 301||RICHMOND VA 23226-3742|USA|||  ||FRENCH, TOMMY|(804)648-3500|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|APPROVED|04/27/1990|0|0|0|0|0|0
Philadelphia District 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 District 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 District Office| 105650|801-23685|GODSEY & GIBB ASSOCIATES|GODSEY & GIBB INC|6802 PARAGON PL, STE 201||RICHMOND VA 23230|USA|||  ||FRANK B. GIBB, III|(804) 285-7333|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/05/1985|0|0|0|0|0|0
Philadelphia District 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 District 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 W|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 District Office| 105726|801-6273|THOMPSON SIEGEL & WALMSLEY INC|THOMPSON SIEGEL & WALMSLEY INC|5000 MONUMENT AVE||RICHMOND VA 23230|USA|P.O. BOX 6883||RICHMOND VA 23230|USA|ANDERSON, LORI N|804-353-4500 X348|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|01/17/1970|0|1|0|0|0|0
Philadelphia District 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 District Office| 105730|801-16383|POTOMAC ASSET MANAGEMENT CO INC|POTOMAC ASSET MANAGEMENT CO INC|3 BETHESDA METRO CENTER|SUITE 530|BETHESDA MD 20814-5358|USA|||  ||CHRISTOPHER WEIR|301-657-2300|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 District 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 District 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 District Office| 105773|801-5069|VENTURE SECURITIES CORP|VENTURE SECURITIES CORP|516 NORTH BETHLEHEM PIKE||AMBLER PA 19002|USA|P.O. BOX 950||SPRING HOUSE PA 19477|USA|DAVID B. ROWLAND|215-643-9100|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/11/1968|0|2|0|0|0|0
Philadelphia District 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|1|0|0|0
Philadelphia District 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 District Office| 105818|801-8629|TORRAY LLC|TORRAY LLC|7501 WISCONSIN AVENUE|SUITE 1100|BETHESDA MD 20814-6523|USA|||  ||JOSEPH BURKHART|(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 District 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 District 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 District 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 District 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 District 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, Portfolio management for investment companies|APPROVED|04/23/1996|0|0|0|0|0|0
Philadelphia District Office| 105865|801-31703|CAPITAL PLANNING ADVISORY GROUP INC|CAPITAL PLANNING ADVISORY GROUP INC|708 FLORAL VALE BLVD||YARDLEY PA 19067|USA|||  ||LUCIANI, GEORGE N|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 District 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 District 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, Publication of periodicals or newsletters|APPROVED|05/19/1988|0|4|0|0|0|0
Philadelphia District 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|15|1|0|0|0
Philadelphia District 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|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies|APPROVED|02/24/1995|0|0|0|0|0|0
Philadelphia District Office| 105892|801-31556|INDEPENDENT FIDUCIARY SERVICES, INC.|INDEPENDENT FIDUCIARY SERVICES, INC.|805 15TH STREET NW|SUITE 1120|WASHINGTON DC 20005|USA|||  ||ANDREW IRVING|973-424-6400|Corporation|Pension consulting services, Selection of other advisers, Other|APPROVED|03/04/1988|0|0|0|0|0|0
Philadelphia District Office| 105893|801-33567|ECA INVESTMENT GROUP INC|ECA INVESTMENT GROUP INC|235 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 District 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|DAVID Y. SUN, CFA|610-254-0001|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|11/19/1987|0|0|0|0|0|0
Philadelphia District Office| 105914|801-47333|PINENO & LEVIN ASSET MANAGEMENT INC|PINENO & LEVIN 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 District 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 District Office| 105930|801-35030|DECLARATION MANAGEMENT & RESEARCH LLC|DECLARATION MANAGEMENT & RESEARCH LLC|1650 TYSONS BOULEVARD|SUITE 1100|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|29|1|0|0|0
Philadelphia District Office| 105931|801-50257|THE CAVANAUGH GROUP INC|THE CAVANAUGH GROUP INC|102 W PENNSYLVANIA AVE|SUITE 501|TOWSON MD 21204|USA|||  ||WAGNER, JESSICA ELIZABETH|410-583-0850|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|09/29/1995|0|0|0|0|0|0
Philadelphia District 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 District Office| 105936|801-48894|THE GWYNEDD COMPANY|THE GWYNEDD COMPANY|1100 SUMNEYTOWN PIKE||LANSDALE PA 19446|USA|||  ||BARNES EDWARD JOSEPH|215-855-1630|Corporation|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 District Office| 105937|801-38265|PRESQUE ISLE CAPITAL MANAGEMENT INC|PRESQUE ISLE CAPITAL MANAGEMENT INC|3939 W RIDGE ROAD|SUITE B30|ERIE PA 16506|USA|||  ||KUJAN, CHRISTINE A|814-835-7097|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/11/1991|0|0|1|0|0|0
Philadelphia District 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 District 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 District 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 District 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 District 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.|DAY, ADRIAN|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 District 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, Pension consulting services|APPROVED|06/11/1987|0|0|0|0|0|0
Philadelphia District Office| 106014|801-35050|GREENVILLE CAPITAL MANAGEMENT INC|GREENVILLE CAPITAL MANAGEMENT INC|100 S ROCKLAND FALLS RD||ROCKLAND DE 19732|USA|PO BOX 220||ROCKLAND DE 19732|USA|CHARLES S. CRUICE|302-429-9799|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/18/1989|0|1|0|0|0|0
Philadelphia District Office| 106015|801-30694|TRUSTMONT ADVISORY GROUP, INC.|TRUSTMONT FINANCIAL 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 District 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|APPROVED|03/22/1991|0|0|0|0|0|0
Philadelphia District Office| 106024|801-39091|ALEXANDER RANDOLPH ADVISORY INC|ALEXANDER RANDOLPH ADVISORY INC|8500 LEESBURG PIKE, STE 314||VIENNA VA 22182|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 District 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), Market timing services|APPROVED|11/30/1990|0|0|0|0|0|0
Philadelphia District 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)|APPROVED|01/31/1991|0|0|0|0|0|0
Philadelphia District 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 District 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|0|0|0|0|0
Philadelphia District 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 District 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 District Office| 106129|801-37183|RKM ADVISORS INC|RKM ADVISORS INC|16 WEST MINER STREET||WEST CHESTER PA 19382-3214|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 District 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, Selection of other advisers, Other|APPROVED|10/15/1993|0|0|0|0|0|0
Philadelphia District 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 District 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 District Office| 106256|801-49083|ING CLARION REAL ESTATE SECURITIES LP|ING CLARION REAL ESTATE SECURITIES LP|259 N. RADNOR CHESTER RD STE 205||RADNOR PA 19087|USA|||  ||TRUDEL, HEATHER ANN|610-995-8907|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 District 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 District 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 District Office| 106271|801-14388|DAVIDSON CAPITAL MANAGEMENT|DAVIDSON INVESTMENT COUNSELORS, LP|20 NORTH WATERLOO ROAD||DEVON PA 19333-1458|USA|||  ||COVERT, WILLIAM S|610-254-2041|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/01/1979|0|0|0|0|0|0
Philadelphia District 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 District 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 District 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 District Office| 106300|801-45852|MANGHAM ASSOCIATES INC|MANGHAM ASSOCIATES INC|901 HAMMOCKS GAP ROAD||CHARLOTTESVILLE VA 22911|USA|||  ||MANGHAM,JOEL R|434 973 2223|Corporation|Pension consulting services, Selection of other advisers|APPROVED|02/25/1994|0|0|0|0|0|0
Philadelphia District Office| 106304|801-47765|TOEWS CORPORATION|TOEWS CORPORATION|1500 MARKET STREET, 12TH FLOOR, EAST TOWER||PHILADELPHIA PA 19102|USA|||  ||RIGOLIZZO, ALEXANDER JOHN|215-665-5634|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|12/09/1994|0|0|0|0|0|0
Philadelphia District Office| 106314|801-40120|MATTHAI CAPITAL MANAGEMENT|MATTHAI & ASSOCIATES INC|809 GLENEAGLES COURT, SUITE 119||TOWSON MD 21286|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 District 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 District Office| 106350|801-43489|PADCO ADVISORS INC|PADCO ADVISORS INC|9601 BLACKWELL ROAD|STE 500|ROCKVILLE MD 20850|USA|||  ||HAIGNEY, JOANNA|301-296-5241|Corporation|Portfolio management for investment companies, Other|APPROVED|02/10/1993|0|2|0|0|0|0
Philadelphia District Office| 106351|801-47225|PADCO ADVISORS II INC|PADCO ADVISORS II INC|9601 BLACKWELL ROAD|STE 500|ROCKVILLE MD 20850|USA|||  ||HAIGNEY, JOANNA|301-296-5241|Corporation|Portfolio management for investment companies|APPROVED|08/12/1994|0|2|0|0|0|0
Philadelphia District Office| 106375|801-47290|SIGNATURE FINANCIAL MANAGEMENT INC|SIGNATURE FINANCIAL MANAGEMENT INC|150 WEST MAIN STREET, STE 1550||NORFOLK VA 23510|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)|APPROVED|09/06/1994|0|0|0|0|0|0
Philadelphia District 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 District 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 District Office| 106405|801-49599|LONGWOOD INVESTMENT ADVISORS, INC.|LONGWOOD INVESTMENT ADVISORS INC|1275 DRUMMERS LANE, SUITE 207||WAYNE PA 19087|USA|||  ||SORGINI, LEONARD M|610-995-9081|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/17/1995|0|0|0|0|0|0
Philadelphia District Office| 106410|801-39857|GODSHALK ERIC M & CO|ERIC M. GODSHALK & CO.|290 KING OF PRUSSIA ROAD|SUITE B-306|RADNOR PA 19087-5142|USA|||  ||GODSHALK, ERIC M|610-971-0202|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|09/18/1991|0|0|0|0|0|0
Philadelphia District Office| 106411|801-37598|LAUREL CAPITAL ADVISORS LLP|LAUREL CAPITAL ADVISORS LLP|ONE MELLON CENTER 500 GRANT ST STE 151-3945||PITTSBURGH PA 15258|USA|||  ||JOSEPH W. CONNOLLY|212-922-7045|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|10/25/1990|0|0|0|0|0|0
Philadelphia District Office| 106415|801-48749|HORAN CAPITAL MANAGEMENT,LLC|HORAN CAPITAL MANAGEMENT,LLC|100 WEST RD, STE 418||TOWSON MD 21204-2368|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 District Office| 106438|801-37555|YANNI & COMPANY INVESTMENT ADVISORS, INC.|YANNI & COMPANY 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 District Office| 106460|801-8445|MITCHELL SINKLER & STARR|MITCHELL SINKLER & STARR INC|2 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 District 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 District Office| 106514|801-39261|ASSET MANAGEMENT PARTNERS INC|BNK - ASSET MANAGEMENT PARTNERS, INC.|1605 VALLEY CENTER PARKWAY|SUITE 140|BETHLEHEM PA 18017|USA|||  ||SMELTZER, ERIC P.|610-332-3706|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 District Office| 106516|801-37238|SNOW CAPITAL MANAGEMENT, L.P.|SNOW CAPITAL MANAGEMENT, L.P.|2100 GEORGETOWNE DR., SUITE 400||SEWICKLEY PA 15143|USA|||  ||SNYDER, NATHAN T.|724-934-5800|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/24/1990|0|0|0|0|0|0
Philadelphia District 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 District 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 District 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, Selection of other advisers|APPROVED|12/28/1993|0|0|0|0|0|0
Philadelphia District 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 District 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 District 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 District Office| 106614|801-47710|BLACKROCK ADVISORS, INC.|BLACKROCK ADVISORS, INC|100 BELLEVUE PARKWAY||WILMINGTON DE 19809|USA|||  ||BATTISTA, BARTHOLOMEW|212-810-3423|Corporation|Portfolio management for investment companies|APPROVED|11/01/1994|1|4|1|0|0|0
Philadelphia District Office| 106628|801-36371|TRUST FUND ADVISORS|TRUST FUND ADVISORS INC|1625 EYE STREET, NW|2ND 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 District 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 District Office| 106654|801-46604|LONDON CO OF VIRGINIA|LONDON CO OF VIRGINIA|ONE JAMES CENTER, SUITE 1501|901 EAST CARY STREET|RICHMOND VA 23219|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), Selection of other advisers|APPROVED|06/13/1994|0|0|0|0|0|0
Philadelphia District 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 District 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 District 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 District 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 District Office| 106710|801-48872|LIBERTY RIDGE CAPITAL|LIBERTY RIDGE CAPITAL, INC.|1400 LIBERTY RIDGE DRIVE||WAYNE PA 19087-5593|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 District 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|0|0|0|0|0
Philadelphia District Office| 106744|801-41983|INVESTMENT CONSULTANTS & MANAGEMENT CO OF VIRGINIA|INVESTMENT CONSULTANTS & MANAGEMENT CO OF VIRGINIA|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 District 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 District 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 District Office| 106771|801-48442|MITCHELL GROUP|MITCHELL ADVISORS INC|2017 TURTLE POND DR||RESTON VA 20191-4045|USA|||  ||MITCHELL,ELLEN C.|(703) 860-1070|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|01/01/1995|0|0|0|0|0|0
Philadelphia District 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 District Office| 106873|801-22157|GARRISON INSTITUTIONAL ASSET MANAGEMENT|GARRISON INSTITUTIONAL ASSET MANAGEMENT|TWO GATEWAY CENTER, SUITE 2050|603 STANWIX STREET|PITTSBURGH PA 15222|USA|||  ||KATHRYN CONSTANTAKIS|412-209-2663|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/24/1984|0|4|0|0|0|0
Philadelphia District Office| 106898|801-18829|FINANCIAL CONSULATE|THE FINANCIAL CONSULATE, INC|2330 W JOPPA RD|STE 170|LUTHERVILLE MD 21093|USA|||  ||TIGNANELLI, ANDREW V|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), Publication of periodicals or newsletters, Other|APPROVED|04/29/1983|0|0|0|0|0|0
Philadelphia District 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 District Office| 106930|801-37926|SCHUYLKILL CAPITAL MANAGEMENT, LLC|SCHUYLKILL CAPITAL MANAGEMENT, LLC|1631 LOCUST STREET|3RD 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 District Office| 106945|801-10232|THE BURNEY COMPANY|BURNEY CO|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 District 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|1|2|0|0|0
Philadelphia District 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 District 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 District Office| 106991|801-51725|WALSKY INVESTMENT MANAGEMENT INC|WALSKY INVESTMENT MANAGEMENT INC|2650 WESTVIEW DRIVE||WYOMISSING PA 19610|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 District 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 District 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 District 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 District Office| 107039|801-40148|CAVANAUGH CAPITAL MANAGEMENT INC|CAVANAUGH CAPITAL MANAGEMENT INC|515 FAIRMOUNT AVE STE 400||BALTIMORE MD 21286|USA|||  ||BRUNE, MEGAN SULLIVAN|410-769-6124|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 District 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 District 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 District Office| 107056|801-58069|THE SWARTHMORE GROUP, INC.|THE SWARTHMORE GROUP, INC.|1646 WEST CHESTER PIKE|SUITE 9|WEST CHESTER PA 19382|USA|||  ||PAULA MANDLE|610-918-7200|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 District 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 District 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 District Office| 107092|801-40215|WILSON BENNETT CAPITAL MANAGEMENT INC|WILSON BENNETT CAPITAL MANAGEMENT INC|201 NORTH UNION STREET|SUITE 230|ALEXANDRIA VA 22314|USA|||  ||JOHN W. FISHER|(703) 837-0150|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|12/16/1991|0|1|0|0|0|0
Philadelphia District Office| 107094|801-37885|MARKEL-GAYNER ASSET MANAGEMENT CORPORATION|MARKEL-GAYNER ASSET MANAGEMENT CORPORATION|4521 HIGHWOODS PKWY||GLEN ALLEN VA 23060|USA|||  ||GAYNER THOMAS S.|804-527-3806|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 District Office| 107099|801-26821|MOUNT VERNON ASSOCIATES INC|MOUNT VERNON ASSOCIATES INC|6500 FALLS ROAD||BALTIMORE MD 21209|USA|||  ||O'HARA, NANCY VAN DYKE|410.583.0540|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 District Office| 107118|801-52862|STALEY CAPITAL ADVISERS INC|STALEY CAPITAL ADVISERS INC|ONE OXFORD CENTRE|STE 3950|PITTSBURGH PA 15219|USA|||  ||SCHWAB-SIESKY, GEORGANN D|412-261-6884|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/10/1996|0|0|0|0|0|0
Philadelphia District Office| 107133|801-41334|CATAWBA CAPITAL MANAGEMENT INC|CATAWBA CAPITAL MANAGEMENT INC|SUNTRUST PLAZA 10 FRANKLIN RD,STE 625||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 District Office| 107145|801-44730|DUPONT CAPITAL MANAGEMENT|DUPONT CAPITAL MANAGEMENT CORP|DELAWARE CORPORATE CENTER|ONE RIGHTER PKWY STE 3200|WILMINGTON DE 19803|USA|||  ||OSBERG DAVID K|302-477-6060|Corporation|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 District 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 investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/01/1995|0|0|0|0|0|0
Philadelphia District Office| 107208|801-38983|GEF MANAGEMENT CORPORATION|GEF MANAGEMENT CORPORATION|1225 EYE STREET, NW|SUITE 900|WASHINGTON DC 20005|USA|||  ||KATIE VASILESCU|202-789-4500X145|Corporation|Portfolio management for investment companies|APPROVED|06/03/1991|0|0|0|0|0|0
Philadelphia District 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|APPROVED|09/29/1995|0|0|0|0|0|0
Philadelphia District 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 District 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 District 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 District Office| 107274|801-52676|RETIREMENT FINANCIAL SERVICES INC|RETIREMENT FINANCIAL SERVICES, INC.|2005 MARKET STREET||PHILADELPHIA PA 19103|USA|||  ||BRIAN L. MURRAY, JR.|215-255-2369|Corporation|Other|APPROVED|08/26/1996|0|3|1|0|0|0
Philadelphia District Office| 107279|801-46292|FINANCIAL DIRECTIONS LLP|FINANCIAL DIRECTIONS LLP|515 EAST JOPPA ROAD|SUITE 104|BALTIMORE MD 21286-5418|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 District 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 District Office| 107289|801-38963|TGS FINANCIAL ADVISORS|PROFESSIONAL FINANCIAL ADVISORS INC|103 CHESLEY DR|LAFAYETTE BUILDING|MEDIA PA 19063|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, Publication of periodicals or newsletters|APPROVED|06/07/1991|0|0|0|0|0|0
Philadelphia District Office| 107290|801-39638|T. ROWE PRICE (CANADA), INC.|T. ROWE PRICE (CANADA) INC.|100 EAST PRATT STREET||BALTIMORE MD 21202|USA|||  ||HENRY H. HOPKINS|410-345-6640|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/09/1991|0|0|7|0|0|0
Philadelphia District 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 District 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 District Office| 107347|801-38960|ARMSTRONG, FLEMING & MOORE, INC.|ARMSTRONG, FLEMING & MOORE, INC.|1155 CONNECTICUT AVENUE, 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 District 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 District 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|APPROVED|02/07/1992|0|0|0|0|0|0
Philadelphia District Office| 107402|801-37472|THE SCARBOROUGH GROUP, INC.|THE SCARBOROUGH GROUP, INC.|441 DEFENSE HWY|SUITE E|ANNAPOLIS MD 21401|USA|||  ||GENIE RIORDAN|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 District Office| 107404|801-44139|PINNACLE GROUP|MAHLER CAPITAL MANAGEMENT INC|808 MOOREFIELD PARK DRIVE|SUITE 102|RICHMOND VA 23236|USA|||  ||JILL JETER|804-323-9700|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/21/1993|0|1|0|0|0|0
Philadelphia District Office| 107413|801-30507|JFS WEALTH ADVISORS, LLC|JFS WEALTH ADVISORS, LLC|1479 N HERMITAGE ROAD||HERMITAGE PA 16148|USA|||  ||STEPHANIE J. ROSSI|(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|09/24/1987|0|0|0|0|0|0
Philadelphia District 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 District 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 District 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 District 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 District 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 investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/25/1991|0|1|0|0|0|0
Philadelphia District Office| 107518|801-35477|INDEPENDENCE CAPITAL MANAGEMENT INC.|INDEPENDENCE CAPITAL MANAGEMENT INC.|FIVE RADNOR CORPORATE CENTER|SUITE #450|RADNOR PA 19087|USA|||  ||BARBARA S. WOOD|610-975-4328|Corporation|Portfolio management for investment companies, Selection of other advisers|APPROVED|02/02/1990|0|0|0|0|0|0
Philadelphia District 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 District Office| 107549|801-44472|COMPREHENSIVE FINANCIAL INVESTMENT ADVISORS, INC.|COMPREHENSIVE FINANCIAL PLANNING CORPORATION|6243 RIVER ROAD, SUITE 7||RICHMOND VA 23229-8522|USA|||  ||AMY L. HOCHSTEIN|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 District 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 District Office| 107615|801-53638|BEACH INVESTMENT COUNSEL, INC|BEACH INVESTMENT COUNSEL INC|3 RANDOR CORPORATE CENTER|SUITE 410|RADNOR PA 19087|USA|||  ||CHERI CECCHIN|610-225-1100 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 District 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 District Office| 107648|801-50732|PENNSYLVANIA CAPITAL MANAGEMENT INC.|PENNSYLVANIA CAPITAL MANAGEMENT INC.|ONE PITCAIRN PLACE,SUITE 1400|165 TOWNSHIP LINE ROAD|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 District Office| 107658|801-46643|LINDEN ASSET MANAGEMENT INC|LINDEN ASSET MANAGEMENT INC|507 LINDEN STREET STE 101||SCRANTON PA 18503|USA|||  ||PAUL JOSEPH COVIELLO|570-941-8700|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, Selection of other advisers|APPROVED|06/10/1994|0|0|0|0|0|0
Philadelphia District Office| 107659|801-46163|LYDIAN WEALTH MANAGEMENT COMPANY, LLC|LYDIAN WEALTH MANAGEMENT COMPANY, LLC|2600 TOWER OAKS BOULEVARD|SUITE 300|ROCKVILLE MD 20852|USA|||  ||ANDREW PUTTERMAN|301-770-6300|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|04/22/1994|0|3|0|0|0|0
Philadelphia District 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 District Office| 107664|801-43264|MICHAEL JOYCE & ASSOCIATES, P.C.|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 District Office| 107676|801-29557|INVESTMENT COMPANY CAPITAL CORP.|INVESTMENT COMPANY CAPITAL CORP.|ONE SOUTH STREET||BALTIMORE MD 21202|USA|PO BOX 515||BALTIMORE MD 21203|USA|PHILIP GALLO|212-454-6819|Corporation|Portfolio management for investment companies|APPROVED|06/05/1987|0|1|0|0|0|0
Philadelphia District Office| 107688|801-10219|MONEY MANAGEMENT ADVISERS, INC.|MONEY MANAGEMENT ADVISERS, INC.|1001 NINETEENTH STREET NORTH|20TH FLOOR|ARLINGTON VA 22209|USA|||  ||KIMBERLY OCHTERSKI|703.875.1326|Corporation|Portfolio management for investment companies|APPROVED|09/15/1974|0|4|0|0|0|0
Philadelphia District 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|||  ||BERNARD A. ETHIER|301-562-7300|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), Selection of other advisers|APPROVED|02/07/1997|0|0|0|0|0|0
Philadelphia District Office| 107731|801-50956|CHARTER FINANCIAL GROUP, INC.|CHARTER FINANCIAL GROUP, INC.|1101 14 STREET NW|SUITE 1010|WASHINGTON DC 20005|USA|||  ||SUSAN H. STEWART|202-289-7443|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 District Office| 107743|801-34982|GIBSON CAPITAL MANAGEMENT LTD|GIBSON CAPITAL MANAGEMENT LTD|3200 MCKNIGHT EAST DRIVE, SUITE 3210||PITTSBURGH PA 15237-6423|USA|||  ||BRENDA GIBSON|412-369-9925|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 District Office| 107750|801-14391|COOPER, JONES & MCLELAND, LTD|COOPER, JONES & MCLELAND, LTD.|9679-C MAIN STREET||FAIRFAX VA 22031-3766|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 District 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)|APPROVED|01/26/1993|0|0|0|0|0|0
Philadelphia District Office| 107771|801-55370|BRICK & KYLE ASSOCIATES INC|BRICK & KYLE ASSOCIATES INC|905 MT EYRE RD||NEWTOWN PA 18940|USA|||  ||JONATHAN KALLEN|215-493-8787|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 District 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 District Office| 107799|801-55897|GREAT FALLS FINANCIAL SERVICES|COREY JR STANLEY B|746 WALKER RD, SUITE 26||GREAT FALLS VA 22066|USA|P.O. BOX 900||GREAT FALLS VA 22066||STANLEY B. COREY, JR.|703-759-7007|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|10/30/1998|0|0|0|0|0|0
Philadelphia District 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, Other|APPROVED|07/28/1997|0|0|0|0|0|0
Philadelphia District Office| 107811|801-56947|TFS CAPITAL LLC|TECHNICAL FINANCIAL SERVICES LLC|1800 BAYBERRY COURT|SUITE 103|RICHMOND VA 23226|USA|||  ||LARRY EIBEN|804-484-1401|Limited Liability Company|Portfolio management for investment companies|APPROVED|11/12/1999|0|0|0|0|0|0
Philadelphia District Office| 107819|801-48811|GARTMORE GLOBAL PARTNERS|GARTMORE GLOBAL PARTNERS|1200 RIVER ROAD|SUITE 1000|CONSHOHOCKEN PA 19428|USA|||  ||ERIC E. MILLER|484-530-1300|Partnership|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/20/1995|0|1|0|0|0|0
Philadelphia District Office| 107843|801-39504|RED COMB, LLC|RED COMB, LLC|1119 ST PAUL STREET||BALTIMORE MD 21202|USA|||  ||DAVID R. WILMERDING, III|410-385-2645|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|07/25/1991|0|1|0|0|0|0
Philadelphia District Office| 107855|801-50156|COLUMBIA PARTNERS LLC INVESTMENT MANAGEMENT|COLUMBIA PARTNERS LLC INVESTMENT MANAGEMENT|1775 PENNSYLVANIA AVE N.W. 10TH FL.||WASHINGTON DC 20006-4650|USA|||  ||KAREN S. FIREMAN|(202) 296-3131|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/27/1995|0|0|1|0|0|0
Philadelphia District 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 District 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 District Office| 107908|801-48099|BENSON L K & CO P C|BENSON L K & CO P C|1107 KENILWORTH DRIVE|SUITE 200|BALTIMORE 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 District 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 District 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 District Office| 107938|801-56925|ADVISORPORT, INC.|ADVISORPORT, INC.|760 MOORE ROAD|MAIL STOP F4-F760-1B-E|KING OF PRUSSIA PA 19406|USA|||  ||REGINA GRIFFITH|610-382-7700|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|10/28/1999|1|3|0|0|0|0
Philadelphia District 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 District 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 District Office| 108004|801-57470|LONG BOW CAPITAL MANAGEMENT LP|LONG BOW CAPITAL MANAGEMENT LP|630 FREEDOM BUSINESS CENTER|SUITE 313|KING OF PRUSSIA PA 19406|USA|||  ||ROBERT ZIMMERMAN|610-265-8803|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Other|APPROVED|05/02/2000|0|0|0|0|0|0
Philadelphia District 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 District Office| 108067|801-55363|MCLEAN ASSET MANAGEMENT CORP.|MCLEAN ASSET MANAGEMENT CORPORATION|6845 ELM STREET|STE 305|MCLEAN VA 22101|USA|||  ||ALEJANDRO|703-827-0636|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/19/1998|0|1|0|0|0|0
Philadelphia District 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|1|0|0|0
Philadelphia District Office| 108073|801-55660|ROTHSTEIN INVESTMENT ADVISORY SERVICES INC|ROTHSTEIN INVESTMENT ADVISORY SERVICES INC|3600 CHAIN BRIDGE RD|SUITE 200|FAIRFAX VA 22030|USA|||  ||JULIANA KIM|703.352.8778|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/23/1998|0|1|0|0|0|0
Philadelphia District Office| 108079|801-57313|STONE CAPITAL MANAGEMENT INC. A SUB OF FIRST COMMUNITY BANK, NA|STONE CAPITAL MANAGEMENT, INC.|207 BROOKSHIRE LANE||BECKLEY WV 25801|USA|||  ||TAMMY J. SWEENEY|304-256-3982|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/25/2000|0|0|0|0|0|0
Philadelphia District 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 District Office| 108106|801-57595|RHINO FINANCIAL CORP|RHINO FINANCIAL CORP|100 CONCOURSE BOULEVARD|SUITE 101|RICHMOND VA 23059|USA|||  ||BRAD SELLERS|(804)527-0123|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
Philadelphia District 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, Selection of other advisers|APPROVED|01/22/1999|0|0|0|0|0|0
Philadelphia District Office| 108165|801-57826|GLENMEDE ADVISERS, INC|GLENMEDE ADVISERS, INC|1650 MARKET STREET, ONE LIBERTY PLACE, SUITE 1200||PHILADELPHIA PA 19103|USA|||  ||JAMES R. BELANGER|215-419-6138|Corporation|Portfolio management for investment companies|APPROVED|08/25/2000|0|0|0|0|0|0
Philadelphia District 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)|APPROVED|10/19/2000|0|0|0|0|0|0
Philadelphia District 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 District 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 District Office| 108232|801-57286|DEWITT CAPITAL MANAGEMENT|DEWITT INVESTMENT RESEARCH & MANAGEMENT INC|175 STRAFFORD AVE|SUITE 330|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 District Office| 108295|801-22428|CAPITAL & SECURITY MANAGEMENT INC|CAPITAL & SECURITY MANAGEMENT, INC.|34 WEST MINER STREET||WEST CHESTER PA 19382|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 District Office| 108317|801-58133|CPA INVESTMENT SOLUTIONS, LLC|CPA INVESTMENT SOLUTIONS, LLC|1002 FLORAL VALE BLVD||YARDLEY PA 19067|USA|||  ||P. FRANK CASTELLON|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 District Office| 108331|801-55447|ARC FINANCIAL SERVICES LLC|ARC FINANCIAL SERVICES LLC|503 MARTINDALE STREET|SUITE 525|PITTSBURGH PA 15212|USA|||  ||LARRY LETTERIO|412-321-3200|Limited Liability Company|Financial planning services, Selection of other advisers|APPROVED|04/15/1998|0|0|0|0|0|0
Philadelphia District Office| 108333|801-54532|PEREGRINE ADVISERS INC|PEREGRINE ADVISERS INC|503 MARTINDALE STREET|DL CLARK BUILDING SUITE 525|PITTSBURGH PA 15212|USA|305 OVERBROOK ROAD||VALENCIA PA 16059|USA|LARRY LETTERIO|412-321-3200|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|05/30/1997|0|0|0|0|0|0
Philadelphia District Office| 108336|801-19501|WEALTH ASSET MANAGEMENT, INC.|WEALTH ASSET MANAGEMENT, INC.|8600 LASALLE ROAD|SUITE 614|TOWSON MD 21286|USA|||  ||MAUREEN DANZ|410-583-6808|Corporation|Financial 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|08/22/1983|0|1|0|0|0|0
Philadelphia District Office| 108341|801-43581|CULBERTSON A N & CO INC|CULBERTSON A N & CO INC|ONE BOARS HEAD POINTE||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 District 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 District Office| 108357|801-54247|AFBA INVESTMENT MANAGEMENT COMPANY|AFBA 5 STAR INVESTMENT MANAGEMENT CO.|909 NORTH WASHINGTON STREET||ALEXANDRIA VA 22314|USA|||  ||MILDRED E. HUNT|(703)706-5975|Corporation|Portfolio management for investment companies|APPROVED|04/18/1997|0|0|0|0|0|0
Philadelphia District Office| 108361|801-49761|FORT PITT CAPITAL GROUP INC|FORT PITT CAPITAL GROUP INC|790 HOLIDAY DR|FOSTER PLAZA ELEVEN|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|0|0|0|0|0
Philadelphia District 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 District Office| 108380|801-56027|MILLER INVESTMENT MANAGEMENT, L.P.|MILLER INVESTMENT MANAGEMENT, L.P.|ONE TOWER BRIDGE, STE 1430||WEST CONSHOHOCKEN PA 19428|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 District 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 District Office| 108395|801-57952|THE AMBROSE FINANCIAL GROUP, INC.|THE AMBROSE FINANCIAL GROUP, INC.|6 PONDS EDGE DRIVE|SUITE 2|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 District 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)|APPROVED|09/22/2000|0|1|0|0|0|0
Philadelphia District Office| 108400|801-47201|GUYASUTA INVESTMENT ADVISORS, INCORPORATED|GUYASUTA INVESTMENT ADVISORS, INCORPORATED|SUITE 2734|500 GRANT STREET|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 District 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, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/10/2000|0|0|0|0|0|0
Philadelphia District 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 District Office| 108454|801-58003|MULTI-FINANCIAL SERVICES COMPANY|MULTI-FINANCIAL SERVICES COMPANY|741 PIKE SPRINGS ROAD||PHOENIXVILLE PA 19460|USA|||  ||ANGUS DUFF WALLACE|610-933-1122|Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|10/03/2000|0|0|0|0|0|0
Philadelphia District Office| 108461|801-56076|KNOTT CAPITAL MANAGEMENT|CAK CAPITAL MANAGEMENT INC|224 VALLEY CREEK BLVD.|SUITE 100|EXTON PA 19341|USA|||  ||JUNE M. GEORGE|610-854-6100|Corporation|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 District 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 District 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|Portfolio management for individuals and/or small businesses|APPROVED|03/06/2000|0|0|0|0|0|0
Philadelphia District Office| 108562|801-54484|ALLIANCE FAMILY INVESTMENT MANAGEMENT|ALLIANCE INTERNATIONAL LTD|2425 SIDNEY ST||PITTSBURGH PA 15203|USA|||  ||RUSSELL R JORDAN|412-390-2670|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|05/23/1997|0|0|0|0|0|0
Philadelphia District 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 District 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 District 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 District Office| 108613|801-58056|TAMRO CAPITAL PARTNERS, LLC|TAMRO CAPITAL PARTNERS, LLC|1660 DUKE STREET|SUITE 200|ALEXANDRIA VA 22314|USA|||  ||ELWOOD WEILAGE|312-884-2342|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/27/2000|0|1|0|0|0|0
Philadelphia District 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), Other|APPROVED|05/01/1993|0|1|0|0|0|0
Philadelphia District 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 District 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 District Office| 108693|801-56238|ATTALUS CAPITAL, L.L.C.|ATTALUS CAPITAL, L.L.C.|ONE BELMONT AVENUE, SUITE 519||BALA CYNWYD PA 19004|USA|||  ||THOMAS HUNTER|610-617-1122|Limited Liability Company|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 District Office| 108731|801-57518|INVESMART ADVISORS INC|INVESMART ADVISORS, INC.|SIX PENN CENTER WEST|SUITE 211|PITTSBURGH PA 15276|USA|||  ||CHARLES T. MCGORTEY|412-249-3200|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|04/24/2000|0|0|0|0|0|0
Philadelphia District 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 District 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 businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/19/1983|0|2|0|0|0|0
Philadelphia District 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 District 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 District Office| 108824|801-57479|BUNTING CAPITAL MANAGEMENT INC|BUNTING CAPITAL MANAGEMENT INC|5700 CLEVELAND STREET, SUITE 329||VIRGINIA BEACH VA 23462|USA|||  ||DAN BUNTING|(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 District 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 District Office| 108847|801-55439|SCHNEIDER CAPITAL MANAGEMENT CORP.|SCHNEIDER CAPITAL MANAGEMENT CORP|460 EAST SWEDESFORD RD|SUITE 1080|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 District 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 District Office| 108883|801-54830|FBR INVESTMENT MANAGEMENT, INC.|FBR INVESTMENT MANAGEMENT, INC.|1001 19TH STREET NORTH|POTOMAC TOWER|ARLINGTON VA 22209|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|APPROVED|08/22/1997|0|3|0|0|0|0
Philadelphia District 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 businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/04/1994|0|0|0|0|0|0
Philadelphia District Office| 108920|801-56505|TRIDENT ADVISORS INC|TRIDENT ADVISORS INC|350 SOUTH MAIN STREET|SUITE 117|DOYLESTOWN PA 18901|USA|||  ||JOSEPH C. PAUL|215-489-5383|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|05/07/1999|0|0|0|0|0|0
Philadelphia District 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 District Office| 108958|801-58098|T. ROWE PRICE ADVISORY SERVICES, INC.|T. ROWE PRICE ADVISORY SERVICES, INC.|100 EAST PRATT ST||BALTIMORE MD 21202|USA|||  ||HENRY H. HOPKINS|410-345-6640|Corporation|Other|APPROVED|11/17/2000|0|0|3|0|0|0
Philadelphia District Office| 108960|801-54541|ASC ADVISORY GROUP INC|ASC ADVISORY GROUP INC|300 PRESTON AVENUE|SUITE 304|CHARLOTTESVILLE VA 22902|USA|||  ||BILL BEACH|804-220-9300|Corporation|Pension consulting services|APPROVED|06/03/1997|0|0|0|0|0|0
Philadelphia District Office| 108967|801-57836|WEALTHTRUSTFBB|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 District Office| 109026|801-55058|JOHNSON CAPITAL MANAGEMENT INC|JOHNSON CAPITAL MANAGEMENT INC|12500 FAIR LAKES CIRCLE|SUITE 280|FAIRFAX VA 22033|USA|||  ||BRENT JOHNSON|(703)803-4100|Corporation|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
Philadelphia District Office| 109028|801-54738|KRC INVESTMENT ADVISERS LLC|KRC INVESTMENT ADVISERS LLC|1122 KENILWORTH DRIVE|SUITE 215|TOWSON MD 21204|USA|||  ||DOUGLAS M. HOFFBERGER|(410) 321-8026|Limited Liability Company|Selection of other advisers, Other|APPROVED|08/06/1997|0|0|0|0|0|0
Philadelphia District Office| 109071|801-56284|HILLVIEW CAPITAL ADVISORS, LLC|HILLVIEW CAPITAL ADVISORS, LLC|700 THE TIMES BUILDING|SUBURBAN SQUARE|ARDMORE PA 19003|USA|||  ||JOSEPH A. BRACKEN|484-708-4723|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|02/24/1999|0|0|0|0|0|0
Philadelphia District Office| 109089|801-56854|BERKSHIRE ASSET MANAGEMENT INC|BERKSHIRE ASSET MANAGEMENT INC|46 PUBLIC SQUARE|SUITE 700|WILKES BARRE PA 18701|USA|||  ||KENNETH J. KROGULSKI|570-825-2600|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/07/1999|0|0|0|0|0|0
Philadelphia District Office| 109093|801-56611|LOCKHEED MARTIN INVESTMENT MANAGEMENT CO|LOCKHEED MARTIN INVESTMENT MANAGEMENT CO|6550 ROCK SPRING DRIVE|SUITE 400|BETHESDA MD 20817-1814|USA|||  ||GEORGE R. A. JONES|301-571-7147|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/16/1999|0|0|0|0|0|0
Philadelphia District Office| 109104|801-56945|EDGEMOOR CAPITAL MANAGEMENT, INC.|EDGEMOOR CAPITAL MANAGEMENT INC|1900 M STREET NW|SUITE 600|WASHINGTON DC 20036|USA|||  ||PAUL P. MEEHAN|202 530-3350|Corporation|Portfolio 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 District Office| 109126|801-56348|JOHNSTON LEMON ASSET MANAGEMENT INC|JOHNSTON LEMON ASSET MANAGEMENT INC|1101 VERMONT AVENUE, SUITE 800||WASHINGTON DC 20005|USA|||  ||DONALD E. CLEM|202.842.5261|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 District 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 District 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, Other|APPROVED|01/22/1999|0|0|0|0|0|0
Philadelphia District 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), Publication of periodicals or newsletters|APPROVED|02/18/1997|0|2|0|0|0|0
Philadelphia District Office| 109156|801-60055|JEFF HARRIS & ASSOCIATES, INC.|JEFF HARRIS & ASSOCIATES, INC.|410 NEFF AVE.,|STE 200|HARRISONBURG VA 22801|USA|P.O. BOX 5244||LAKE WYLIE SC 29710|USA|JEFFREY B. HARRIS|803-980-1993|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 District 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 District 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 District Office| 109210|801-57946|AMES FEE ONLY FINANCIAL PLANNING|AMES STEVEN REEDE|506 CHESTER AVE.||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 District 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|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 District Office| 109224|801-55933|TRICAPITAL ADVISORS INC|TRICAPITAL ADVISORS INC|11140 ROCKVILLE PIKE|STE 600|NORTH BETHESDA MD 20852|USA|||  ||MARC A. FREEDMAN|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 District 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 District 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, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/23/1999|0|1|0|0|0|0
Philadelphia District 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|540-687-8922|Limited Liability Company|Portfolio 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 District Office| 109247|801-55696|PRIVATE ADVISORS LLC|PRIVATE ADVISORS LLC|1800 BAYBERRY COURT|SUITE 300|RICHMOND VA 23226|USA|||  ||LOUIS W. MOELCHERT, JR|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 District 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 District Office| 109263|801-57456|SAUNDERS RETIREMENT PLANNING, INC.|SAUNDERS RETIREMENT PLANNING, INC.|5516 SILVER BIRCH LANE||MIDLOTHIAN VA 23112|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|04/07/2000|0|0|0|0|0|0
Philadelphia District Office| 109267|801-57790|TREFSGAR & CO INC|TREFSGAR & CO 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 District Office| 109273|801-57881|WILMERDING & ASSOCIATES INC.|WILMERDING & ASSOCIATES INC.|ONE TOWER BRIDGE|100 FRONT STREET, SUITE 1430|WEST CONSHOHOCKEN PA 19428|USA|||  ||SHEILA HEENAN|1-610-834-1080|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/20/2000|0|0|0|0|0|0
Philadelphia District 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 District Office| 109328|801-57489|BALLAMOR CAPITAL MANAGEMENT, INC.|BALLAMOR CAPITAL MANAGEMENT, INC.|1200 LIBERTY RIDGE, SUITE 340||WAYNE PA 19087|USA|||  ||BARRY R. BEKKEDAM|610-722-5600|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 District 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|APPROVED|03/02/2000|0|0|0|0|0|0
Philadelphia District Office| 109364|801-57844|GARTMORE GLOBAL ASSET MANAGEMENT TRUST|GARTMORE GLOBAL ASSET MANAGEMENT TRUST|1200 RIVER ROAD|SUITE 1000|CONSHOHOCKEN PA 19428|USA|||  ||ERIC E. MILLER|484-530-1300|Other (specify)|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/31/2000|0|2|0|0|0|0
Philadelphia District Office| 109367|801-56369|GARTMORE SA CAPITAL TRUST|GARTMORE 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 District Office| 109391|801-56370|GARTMORE GLOBAL INVESTMENTS|GARTMORE MUTUAL FUND CAPITAL TRUST|1200 RIVER ROAD|SUITE 1000|CONSHOHOCKEN PA 19428|USA|||  ||ERIC E. MILLER|484-530-1300|Other (specify)|Portfolio management for investment companies|APPROVED|03/18/1999|0|1|0|0|0|0
Philadelphia District Office| 109392|801-57846|TANDEM INVESTMENT ADVISORS INC|TANDEM INVESTMENT ADVISORS INC|2 BOAR'S HEAD PLACE|SUITE 105|CHARLOTTESVILLE VA 22903|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
Philadelphia District 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 District 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 District 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 District 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|APPROVED|06/16/2000|0|0|0|0|0|0
Philadelphia District Office| 109451|801-55185|NETWORK FOR FINANCIAL INDEPENDENCE LLC|NETWORK FOR FINANCIAL INDEPENDENCE LLC|400 MCKNIGHT PARK DRIVE|SUITE 404|PITTSBURGH PA 15237|USA|||  ||DAVID E. MARTIN|412-635-9634|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/23/1998|0|1|0|0|0|0
Philadelphia District 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 businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|04/23/2004|0|0|0|0|0|0
Philadelphia District Office| 109511|801-57548|CHAPEL HILL INVESTMENT ANALYSTS INC|CHAPEL HILL INVESTMENT ANALYSTS INC|460 MATHEWS STREET, SUITE 2100||GREENSBURG PA 15601|USA|||  ||JASON GONGAWARE|(724) 830-2600 X116|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/06/2000|0|0|0|0|0|0
Philadelphia District 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|532-534 MAIN STREET|SUITE 5|JOHNSTOWN PA 15901|USA|KIM CRAIG|814-532-3501|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|07/06/1999|0|0|0|0|0|0
Philadelphia District 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)|APPROVED|06/10/1999|0|0|0|0|0|0
Philadelphia District Office| 109557|801-56000|CANON CAPITAL INVESTMENT ADVISORY|P. J. ROLAND, LTD.|357 MAIN STREET|POST OFFICE BOX 64160|SOUDETON 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 District 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|0|1|1|0|0|0
Philadelphia District 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|0|0|0|0|0
Philadelphia District 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 District 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, Publication of periodicals or newsletters|APPROVED|09/29/2000|0|1|0|0|0|0
Philadelphia District Office| 109612|801-57885|MOS CAPITAL, INC.|MOS CAPITAL, INC|500 E. MAIN ST.|SUITE 1135|NORFOLK VA 23510|USA|||  ||WILLIAM F. MOORE, JR|757-222-3710|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 District Office| 109619|801-57917|WAYPOINT BANK|WAYPOINT BANK|235 NORTH SECOND STREET|P.O. BOX 1711|HARRISBURG PA 17105-1711|USA|||  ||DAVID C. WALTERS|717-909-6276|Corporation|Financial 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|10/17/2000|0|0|0|0|0|0
Philadelphia District 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|0|0|0|0
Philadelphia District 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 District Office| 109712|801-60040|COMMONWEALTH CAPITAL MANAGEMENT LLC|COMMONWEALTH CAPITAL MANAGEMENT LLC|8730 STONY POINT PARKWAY|BUILDING III, SUITE 205|RICHMOND VA 23235|USA|||  ||JOHN PASCO III|804-267-7400|Limited Liability Company|Portfolio management for investment companies|APPROVED|03/06/2001|0|0|0|0|0|0
Philadelphia District Office| 109732|801-38301|SULLIVAN BRUYETTE SPEROS & BLAYNEY INC|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 District 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 District Office| 109771|801-21527|MID ATLANTIC FINANCIAL MANAGEMENT, INC.|MID ATLANTIC FINANCIAL MANAGEMENT, INC.|336 FOURTH AVENUE|THE TIMES BUILDING|PITTSBURGH PA 15222|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 District 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 District Office| 109805|801-57157|STERLING WEATLH 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 District 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 District Office| 109866|801-21231|EXECUTIVE FINANCIAL SERVICES INC|EXECUTIVE FINANCIAL SERVICES INC|1029 N BETHLEHEM PIKE||SPRING HOUSE PA 19477-0505|USA|P. O. BOX 505||SPRING HOUSE PA 19477-0505|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 District Office| 109891|801-54373|COOPERNEFF ADVISORS INC.|COOPERNEFF ADVISORS INC|555 CROTON ROAD, 4TH FL.||KING OF PRUSSIA PA 19406|USA|||  ||THERESA MCCLOSKEY|610-491-1572|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/09/1997|0|2|0|0|0|0
Philadelphia District Office| 109895|801-60127|FINANCIAL PLANNING GROUP, INC.|INSPRIT FINANCIAL PLANNING GROUP, INC.|510 N. WASHINGTON STREET|SUITE 300|FALLS CHURCH VA 22046|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 District Office| 109935|801-60093|MERCANTILE CAPITAL ADVISORS, INC.|MERCANTILE CAPITAL ADVISORS, INC.|TWO HOPKINS PLAZA, 4TH FLOOR||BALTIMORE MD 21201|USA|||  ||SAVONNE L. FERGUSON|410-237-5139|Corporation|Portfolio management for investment companies|APPROVED|04/25/2001|0|0|0|0|0|0
Philadelphia District 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 District Office| 109955|801-60044|CYPRESS CAPITAL MANAGEMENT, LLC|CYPRESS CAPITAL MANAGEMENT, LLC|1220 MARKET BUILDING|SUITE 704|WILMINGTON DE 19801|USA|||  ||RICHARD L. ARVEDLUND|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), Other|APPROVED|03/07/2001|0|2|0|0|0|0
Philadelphia District Office| 109971|801-46692|WMS PARTNERS, LLC|WMS PARTNERS, LLC|305 WASHINGTON AVENUE, SUITE 204||TOWSON MD 21204-4740|USA|||  ||WILLIAM F. BRUNS,III|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 District 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 District 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 District 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|APPROVED|03/02/1990|0|0|0|0|0|0
Philadelphia District 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 District Office| 110066|801-57443|CORCORAN GROUP|CORCORAN GROUP LTD|113 SOUTH ALFRED STREET||ALEXANDRIA VA 22314-3001|USA|||  ||PHILIP E. CORCORAN|703-299-0999|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/26/2000|0|0|0|0|0|0
Philadelphia District 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, Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|02/16/2001|0|0|0|0|0|0
Philadelphia District Office| 110086|801-56557|GOODWYN LONG & BLACK INVESTMENT INC GLB|GLB GROUP, 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 District 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||BENJAMIN PERESS|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 District 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 District Office| 110096|801-57921|HILLMAN CAPITAL MANAGEMENT INC|HILLMAN CAPITAL MANAGEMENT INC|4733 BETHESDA AVENUE|SUITE 325|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 District 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 District Office| 110128|801-57491|VANTAGE INVESTMENT ADVISORS, LLC|VANTAGE INVESTMENT ADVISORS, LLC|2541 E. COLLEGE AVENUE, SUITE 200||STATE COLLEGE PA 16801|USA|||  ||ROBERT R. THOMAS|814-867-2050|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, Other|APPROVED|04/14/2000|0|0|0|0|0|0
Philadelphia District Office| 110147|801-64389|PKS INVESTMENT ADVISORS LLC|PKS INVESTMENT ADVISORS LLC|540 RIVERSIDE DRIVE||SALISBURY MD 21801|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|APPROVED|06/16/2005|0|0|0|0|0|0
Philadelphia District Office| 110181|801-38826|BEATY HAYNES & ASSOCIATES, INC.|BEATY HAYNES & ASSOCIATES, INC.|7475 WISCONSIN AVENUE|SUITE 800|BETHESDA MD 20814|USA|||  ||RAYMOND G. MCCLURE|301-718-8600|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/07/1991|0|0|0|0|0|0
Philadelphia District Office| 110226|801-29829|SOL CAPITAL MANAGEMENT CO|SOL CAPITAL MANAGEMENT CO|6116 EXECUTIVE BLVD.|SUITE 401|ROCKVILLE MD 20852|USA|||  ||SAMUEL SANDLER|(301) 881-3727|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/19/1987|0|0|0|0|0|0
Philadelphia District Office| 110232|801-60232|TYLER WEALTH COUNSELORS, INC.|TYLER WEALTH COUNSELORS, INC.|717 CONSTITUTION DRIVE|SUITE 104|EXTON PA 19341|USA|||  ||DEBORAH S. STETTER|610-458-3378|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
Philadelphia District 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 District 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|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 District Office| 110294|801-52528|PROFIT INVESTMENT MANAGEMENT|INVESTOR RESOURCES GROUP|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 District Office| 110330|801-29171|P.G. CORBIN ASSET MANAGEMENT|P.G. CORBIN ASSET MANAGEMENT|TWO COMMERCE SQUARE, 2001 MARKET STREET|SUITE 3420|PHILADELPHIA PA 19103|USA|||  ||MARK CORBIN|215/568/2508|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/27/1987|0|0|0|0|0|0
Philadelphia District Office| 110339|801-17877|MCCABE CAPITAL MANAGERS, LTD.|MCCABE CAPITAL MANAGERS, LTD.|2011 RENAISSANCE BLVD|STE 210|KING OF PRUSSIA PA 19406|USA|||  ||JAMES L. MCCABE|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 District 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 District 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|||  ||MARK 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 District 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 District Office| 110398|801-44161|NORTON CAPITAL MANAGEMENT, INC.|NORTON CAPITAL MANAGEMENT, INC.|999 WATERSIDE DR. STE 2206||NORFOLK VA 23510-3300|USA|||  ||RAYMOND J. NORTON, CFA|(757)623-5990|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 District 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 District 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 District Office| 110424|801-56767|WALNUT ASSET MANAGEMENT LLC|WALNUT ASSET MANAGEMENT LLC|1617 JOHN F. KENNEDY BLVD|SUITE 500|PHILADELPHIA PA 19103|USA|||  ||ROBERT N. PHILLIPS, JR.|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 District Office| 110473|801-46008|WATSON WYATT INVESTMENT CONSULTING INC|WATSON WYATT INVESTMENT CONSULTING INC|901 N. GLEBE ROAD||ARLINGTON VA 22203|USA|||  ||HONG LE NGUYEN|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 District Office| 110545|801-32509|AVENIR CORPORATION|AVENIR CORPORATION|1725 K STREET, NW|SUITE 401|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 District 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|APPROVED|04/28/2000|0|0|0|0|0|0
Philadelphia District Office| 110572|801-55880|WEST CAPITAL MANAGEMENT, INC.|WEST CAPITAL MANAGEMENT, INC.|THE BELLEVUE, 200 SOUTH BROAD STREET|SUITE 460|PHILADELPHIA PA 19102|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), Pension consulting services, Selection of other advisers|APPROVED|09/18/1998|0|0|0|0|0|0
Philadelphia District 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 District Office| 110619|801-18115|LEGG MASON CAPITAL MANAGEMENT INC|LEGG MASON CAPITAL MANAGEMENT INC|100 LIGHT STREET||BALTIMORE MD 21202|USA|||  ||NEIL PETER O'CALLAGHAN|410-454-5822|Corporation|Portfolio 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 District Office| 110627|801-57714|LEGG MASON FUNDS MANAGEMENT INC.|LEGG MASON FUNDS MANAGEMENT INC.|100 LIGHT ST||BALTIMORE MD 21202|USA|||  ||NEIL PETER O'CALLAGHAN|410-454-5822|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/24/2000|0|0|0|0|0|0
Philadelphia District Office| 110630|801-56733|LEGG MASON TRUST COMPANY, NATIONAL ASSOCIATION|LEGG MASON TRUST COMPANY, NATIONAL ASSOCIATION|100 LIGHT ST||BALTIMORE MD 21202|USA|||  ||TIMOTHY J. HYNES, III|410-454-3150|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|09/21/1999|0|0|0|0|0|0
Philadelphia District Office| 110632|801-56989|LMM LLC|LMM LLC|100 LIGHT ST||BALTIMORE MD 21202|USA|||  ||NEIL PETER O'CALLAGHAN|410-454-5822|Limited Liability Company|Portfolio management for investment companies|APPROVED|12/01/1999|0|0|0|0|0|0
Philadelphia District Office| 110685|801-37304|LEGG MASON REAL ESTATE SERVICES INC|LEGG MASON REAL ESTATE SERVICES INC|1600 MARKET STREET|13TH FLOOR|PHILADELPHIA PA 19103|USA|||  ||DOUGLAS S. CALLANTINE|(215) 446-8021|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|08/24/1990|0|0|0|0|0|0
Philadelphia District Office| 110694|801-16958|LEGG MASON FUND ADVISER INC|LEGG MASON FUND ADVISER INC|100 LIGHT STREET||BALTIMORE MD 21202|USA|||  ||GREGORY T. MERZ|410-454-5357|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/17/1982|0|1|0|0|0|0
Philadelphia District 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 District 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 District Office| 110729|801-21341|COOKSON PEIRCE & CO. INC.|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 District 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 investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/07/1986|0|0|0|0|0|0
Philadelphia District Office| 110731|801-24854|API FINANCIAL PLANNING SERVICES INC|API FINANCIAL PLANNING SERVICES INC|1700 REISTERSTOWN ROAD|SUITE 109|BALTIMORE MD 21208|USA|||  ||CINDY WARD|(410) 484-0588|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|07/08/1985|0|0|0|0|0|0
Philadelphia District Office| 110742|801-55134|CHEVY CHASE TRUST COMPANY|CHEVY CHASE TRUST COMPANY|7501 WISCONSIN AVENUE||BETHESDA MD 20814|USA|||  ||PAUL DUNCAN|240-497-5008|Corporation|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|12/24/1997|0|1|0|0|0|0
Philadelphia District 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 District 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 District 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 District Office| 110750|801-43455|CMG CAPITAL MANAGEMENT GROUP, INC.|CMG CAPITAL MANAGEMENT GROUP, INC.|150 N. RADNOR-CHESTER ROAD||RADNOR PA 19087|USA|||  ||STEVE BLUMENTHAL|610-989-9090|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/04/1993|0|0|0|0|0|0
Philadelphia District 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 District Office| 110777|801-15740|DIXON HUBARD & FEINOUR INC|DIXON HUBARD & FEINOUR 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)|APPROVED|01/16/1981|0|0|0|0|0|0
Philadelphia District Office| 110779|801-15569|SUMMERS CAPITAL SERVICES INC|SUMMERS CAPITAL SERVICES INC|100 COURT SQUARE ANNEX|SUITE A|CHARLOTTESVILLE VA 22902|USA|||  ||MONTE COHEN|434-979-7890|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|10/24/1980|0|1|0|0|0|0
Philadelphia District Office| 110783|801-27797|BRANDYWINE ASSET MANAGEMENT, LLC|BRANDYWINE ASSET MANAGEMENT, LLC|201 N. WALNUT STREET|SUITE 1200|WILMINGTON DE 19801|USA|||  ||AARON D. DEANGELIS|(302) 654-6162|Limited Liability Company|Portfolio 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
Philadelphia District 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|APPROVED|10/08/1981|0|0|0|0|0|0
Philadelphia District 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 District 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 District 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 District 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 District Office| 110802|801-56821|PSA FINANCIAL ADVISORS INC|PSA FINANCIAL ADVISORS INC|1447 YORK ROAD||LUTHERVILLE MD 21093-6032|USA|||  ||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|APPROVED|09/07/1999|0|1|1|0|0|0
Philadelphia District 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|1|0|0|0|0
Philadelphia District Office| 110872|801-14610|DELMARVA LIMITED FINANCIAL CONSULTANTS|DELMARVA LIMITED FINANCIAL CONSULTANTS|7234 LANCASTER PIKE|SUITE 304B|HOCKESSIN DE 19707|USA|||  ||WILLIAM DAVID STARNES|302-234-8300|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters, Market timing services, Other|APPROVED|06/04/1979|0|0|0|0|0|0
Philadelphia District Office| 110881|801-60242|LEGG MASON FOCUS CAPITAL, INC.|LEGG MASON FOCUS CAPITAL, INC.|TWO LOGAN SQUARE, SUITE 1850||PHILADELPHIA PA 19103|USA|||  ||ERICKA MERLUZZI PETERSON|610-542-2980|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/06/2001|0|0|0|0|0|0
Philadelphia District Office| 110891|801-57151|MAJORITY ASSET MANAGEMENT, INC.|MAJORITY ASSET MANAGEMENT, INC.|111 SOUTH CALVERT STREET|SUITE 2700|BALTIMORE MD 21202|USA|||  ||BARBARA E. DOTY|410-385-5215|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
Philadelphia District Office| 110892|801-60122|PITCAIRN INVESTMENT MANAGEMENT|PITCAIRN TRUST COMPANY|ONE PITCAIRN PLACE|SUITE 3000|JENKINTOWN PA 19046|USA|||  ||LAWRENCE R. BARDFELD|(215) 881-6116|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|03/27/2001|0|0|0|0|0|0
Philadelphia District 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 District Office| 110911|801-16965|GEEWAX TERKER & CO|GEEWAX TERKER & CO|414 OLD BALTIMORE PIKE||CHADDS FORD PA 19317|USA|P.O. BOX 2700|414 OLD BALTIMORE PIKE|CHADDS FORD PA 19317|USA|JOHN J. GEEWAX|484-771-1000|Partnership|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/05/1982|0|0|0|0|0|0
Philadelphia District 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|JULIE STAPEL|202-828-6213|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 District 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 District 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 District 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 District 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 District Office| 110974|801-51193|PRICEWATERHOUSECOOPERS INVESTMENT ADVISERS LLC|PRICEWATERHOUSECOOPERS INVESTMENT ADVISERS LLC|TWO COMMERCE SQUARE, SUITE 1700||PHILADELPHIA PA 19103|USA|||  ||ALAN S.FOX, ESQ.|(646) 471-1131|Limited Liability Company|Financial planning services, Pension consulting services, Selection of other advisers, Other|APPROVED|02/06/1996|0|4|0|0|0|0
Philadelphia District Office| 110995|801-57896|ASB CAPITAL MANAGEMENT INC.|ASB CAPITAL MANAGEMENT LLC|7501 WISCONSIN AVENUE, EAST TOWER|SUITE 200|BETHESDA MD 20814|USA|||  ||PAUL DUNCAN|240-497-5008|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 District 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|Financial planning services, 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 District Office| 111069|801-49966|ABERDEEN ASSET MANAGEMENT INC.|ABERDEEN ASSET MANAGEMENT INC|1735 MARKET STREET|37TH FLOOR|PHILADELPHIA PA 19103|USA|||  ||JAMES CAPEZZUTO|(215) 405-5770|Corporation|Portfolio 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 District 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 District 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 District Office| 111105|801-56351|MONTGOMERY BROTHERS INC|MONTGOMERY BROTHERS INC|1730 RHODE ISLAND AVE NW|STE 206|WASHINGTON DC 20036|USA|||  ||JOHN E. MONTGOMERY|202.861.2380|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 District Office| 111113|801-18054|MASON INVESTMENT ADVISORY SERVICES INC|MASON INVESTMENT ADVISORY SERVICES INC|11800 SUNRISE VALLEY DR|STE 550|RESTON VA 20191-5321|USA|||  ||JUDITH 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 District 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|0|0|0|0|0|0
Philadelphia District Office| 111125|801-44866|RICH INVESTMENTS INC|RICH INVESTMENTS INC|602 E. BALTIMORE PIKE||MEDIA PA 19063|USA|203 FLEETWOOD DR||RED LION PA 17356|USA|KAREN E. RICH-FALVEY|717-244-5427|Corporation|Financial 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|10/05/1993|0|0|0|0|0|0
Philadelphia District Office| 111126|801-51407|FIS GROUP, INC.|FIS GROUP, INC.|1608 WALNUT STREET|SUITE 600|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 District Office| 111128|801-52462|CARLYLE INVESTMENT MANAGEMENT, LLC|CARLYLE INVESTMENT MANAGEMENT, LLC|1001 PENNSYLVANIA AVENUE, N.W.||WASHINGTON DC 20004|USA|||  ||JOHN FENTON HARRIS|202-347-2626|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 District Office| 111131|801-55850|KADES FINANCIAL INC|KADES FINANCIAL INC|600 GERMANTOWN PIKE||LAFAYETTE HILL PA 19444|USA|||  ||HOWARD KADES|610-834-1504|Corporation|Financial 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|08/31/1998|0|0|0|0|0|0
Philadelphia District 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 District Office| 111179|801-48201|LASALLE INVESTMENT MANAGEMENT (SECURITIES), L.P.|LASALLE INVESTMENT MANAGEMENT (SECURITIES), L.P.|100 EAST PRATT STREET||BALTIMORE MD 21202|USA|||  ||KIMBALL C.WOODROW|312-782-5800|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 District Office| 111190|801-43935|ASHBRIDGE INVESTMENT MANAGEMENT, LLC|ASHBRIDGE INVESTMENT MANAGEMENT, LLC|ONE SOUTH BROAD STREET - 23RD FLOOR||PHILADELPHIA PA 10107|USA|||  ||HARVEY B SWEDLOFF|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 District 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 District 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)|APPROVED|08/21/2000|0|1|0|0|0|0
Philadelphia District 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 District 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 District Office| 111404|801-45908|OBRIEN JOHN P INVESTMENT MANAGEMENT INC|OBRIEN JOHN P INVESTMENT MANAGEMENT INC|5705 OLD CHESTER ROAD||BETHESDA MD 20817|USA|||  ||JOHN O'BRIEN|301-652-1854|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
Philadelphia District Office| 111450|801-54022|WINSTON CAPITAL MANAGEMENT LLC|WINSTON CAPITAL MANAGEMENT LLC|1750 TYSONS BLVD|SUITE 200|MCLEAN VA 22102-4228|USA|||  ||JENNIFER COMMANDER|(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|0|0|0|0
Philadelphia District Office| 111478|801-15108|DEARDEN MAGUIRE WEAVER & BARRETT INC|DEARDEN, MAGUIRE, WEAVER & BARRETT, LLC|ONE TWR BRIDGE|STE 560|WEST CONSHOHOCKEN PA 19428|USA|||  ||JAMIE MARTIN|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|0|0|0|0|0
Philadelphia District Office| 111498|801-56269|PRIME INVESTMENT ADVISORY CORPORATION|PRIME INVESTMENT ADVISORY CORPORATION|4520 EAST WEST HIGHWAY|SUITE 640|BETHESDA MD 20814|USA|13311 MORNING FIELD WAY||POTOMAC MD 20854|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 District Office| 111505|801-60097|FIRST COMMONWEALTH FINANCIAL ADVISORS, INC.|FIRST COMMONWEALTH FINANCIAL ADVISORS, INC.|1001 VILLAGE RUN ROAD||WEXFORD PA 15090|USA|||  ||JOSEPH J. VIROSTEK JR.|724-933-4515|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Other|APPROVED|03/16/2001|0|0|0|0|0|0
Philadelphia District 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 District Office| 111511|801-58294|MDL ADVISERS, INC.|MDL ADVISERS, INC.|309 SMITHFIELD ST.|5TH FLOOR|PITTSBURGH PA 15222|USA|||  ||MILDRED FORBES|(412) 281-1995|Corporation|Portfolio management for investment companies|APPROVED|09/12/2000|0|0|0|0|0|0
Philadelphia District Office| 111513|801-58293|MDL CAPITAL MANAGEMENT, INCORPORATED|MDL CAPITAL MANAGEMENT, INCORPORATED|309 SMITHFIELD STREET|FIFTH FLOOR|PITTSBURGH PA 15222|USA|||  ||MILDRED FORBES|(412) 281-1995|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/12/2000|0|0|0|0|0|0
Philadelphia District Office| 111540|801-58194|GMAC INSTITUTIONAL ADVISORS, LP|GMAC INSTITUTIONAL ADVISORS, 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), Pension consulting services, Publication of periodicals or newsletters, Other|APPROVED|12/14/2000|0|1|0|0|0|0
Philadelphia District Office| 111587|801-46901|AEGIS FINANCIAL CORPORATION|AEGIS FINANCIAL CORPORATION|1100 NORTH GLEBE RD|SUITE 1040|ARLINGTON VA 22201-7788|USA|||  ||WILLIAM S. BERNO|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 District Office| 111597|801-53694|AMERISERV ASSOCIATES, INC.|AMERISERV ASSOCIATES, INC.|734 SOUTH ATHERTON STREET||STATE COLLEGE PA 16801-4628|USA|||  ||RAY M. FISHER|814-235-0921|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/1997|0|0|0|0|0|0
Philadelphia District Office| 111647|801-61501|RDL FINANCIAL, LC|RDL FINANCIAL, LC|4401 FAIR LAKES COURT|STE 310|FAIRFAX VA 22033|USA|||  ||ROBERT DAVID 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 District 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 District 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 District 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 District Office| 111740|801-60373|ABUNDANCE WEALTH COUNSELORS, LLC|ABUNDANCE WEALTH COUNSELORS, LLC|270 WALKER DRIVE|SUITE 105|STATE COLLEGE PA 16804|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 District Office| 111743|801-30504|BRINKER CAPITAL INC|BRINKER CAPITAL INC|1055 WESTLAKES DRIVE|SUITE 250|BERWYN PA 19312|USA|||  ||PATTI MCCABE|610-407-5500|Corporation|Financial planning services, 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 District 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|||  ||W.CHRISTOPHER MAXWELL|(410)810-0851|Limited Liability Company|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|04/18/2001|0|0|0|0|0|0
Philadelphia District Office| 111755|801-42372|RAULIN INC.|RAULIN INC.|600 TAYLOR WAY, SUITE 201||BRIDGEVILLE PA 15017-1842|USA|||  ||JOAN F. RAULIN|(412) 221-3044|Corporation|Pension consulting services, Selection of other advisers|APPROVED|09/23/1992|0|0|0|0|0|0
Philadelphia District 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 District Office| 111827|801-57010|FIDUCIARY COUNSELORS INC.|FIDUCIARY COUNSELORS INC.|700 12TH STREET NW|SUITE 700|WASHINGTON DC 20005|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 District Office| 111848|801-56148|HERITAGE CAPITAL MANAGEMENT LLC|HERITAGE CAPITAL MANAGEMENT LLC|9211 FOREST HILL AVE STE 105||RICHMOND VA 23235|USA|||  ||GEORGE A. HUSS|804-272-1777|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 District 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|APPROVED|11/27/1987|0|1|0|0|0|0
Philadelphia District Office| 111907|801-60151|WESBANCO INVESTMENT DEPARTMENT|WESBANCO BANK, INC.|ONE BANK PLAZA||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 District 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 District Office| 111940|801-55092|INSTITUTIONAL SHAREHOLDER SERVICES INC.|INSTITUTIONAL SHAREHOLDER SERVICES INC.|2099 GAITHER ROAD|SUITE 501|ROCKVILLE MD 20850|USA|||  ||STEVEN FRIEDMAN|301-556-0420|Corporation|Pension consulting services, Publication of periodicals or newsletters, Other|APPROVED|12/22/1997|0|0|0|0|0|0
Philadelphia District Office| 112042|801-47895|D.B. ROOT & COMPANY, INC.|D.B. ROOT & COMPANY, INC.|3100 KOPPERS BUILDING|436 SEVENTH AVENUE|PITTSBURGH PA 15219|USA|||  ||LYNNE HOFFAY|412-227-2800|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/23/1994|0|0|0|0|0|0
Philadelphia District Office| 112067|801-57106|PRESWICK CAPITAL MANAGEMENT, LLC|PRESWICK CAPITAL MANAGEMENT, LLC|1400 NORTH PROVIDENCE ROAD, SUITE 1080||MEDIA PA 19063|USA|||  ||ANTHONY J. GAMBACORTA|610-565-3463|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|12/29/1999|0|0|0|0|0|0
Philadelphia District 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 District 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 District Office| 112100|801-56954|CMG ADVISORS, INC.|CMG ADVISORS, INC.|150 RADNOR CHESTER ROAD||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 District 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, Pension consulting services, Selection of other advisers|APPROVED|01/06/1994|0|0|0|0|0|0
Philadelphia District Office| 112124|801-55004|H. L. LICHSTRAHL & COMPANY, LLC|H. L. LICHSTRAHL & COMPANY, LLC|3976 CHAIN BRIDGE ROAD||FAIRFAX VA 22030|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)|APPROVED|11/13/1997|0|1|0|0|0|0
Philadelphia District 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|||  ||NINA MITCHELL|202-721-7218|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 District 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 District Office| 112139|801-60424|HBK SORCE ADVISORY LLC|HBK SORCE ADVISORY LLC|ZUCK ROAD OFFICE PARK|5121 ZUCK ROAD|ERIE PA 16506|USA|||  ||R. DEAN PICCIRILLO|(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|0|0|0|0
Philadelphia District 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 District 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 District 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, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/23/2003|0|0|0|0|0|0
Philadelphia District Office| 112242|801-13252|THE CAPITAL MANAGEMENT CORPORATION|THE CAPITAL MANAGEMENT CORPORATION|9030 STONY POINT PKWY STE 150||RICHMOND VA 23235|USA|||  ||SUSAN KIDD|804-327-0302|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 District 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 District 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|Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|10/30/1998|0|0|0|0|0|0
Philadelphia District Office| 112368|801-29207|CROWLEY & CROWLEY CORP.|CROWLEY & CROWLEY CORP.|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, Portfolio management for investment companies|APPROVED|04/20/1987|0|0|0|0|0|0
Philadelphia District 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, Pension consulting services|APPROVED|03/19/1987|0|0|0|0|0|0
Philadelphia District Office| 112477|801-57306|FIRSTSERVICE CAPITAL INC|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)|APPROVED|02/22/2000|0|0|0|0|0|0
Philadelphia District 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 District 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 District Office| 112530|801-60317|FIRST MARKET ADVISORS, INC.|FIRST MARKET ADVISORS, INC.|111 VIRGINIA STREET, SUITE 200||RICHMOND VA 23219|USA|||  ||STEPHEN W. MAPP|(804) 327-7500|Corporation|Financial planning services, Selection of other advisers|APPROVED|06/22/2001|0|1|0|0|0|0
Philadelphia District Office| 112563|801-27054|NATIONAL INVESTMENT ADVISORS INC|NATIONAL INVESTMENT ADVISORS INC|14001 BERRYVILLE ROAD||N. POTOMAC MD 20874|USA|||  ||DOUGLAS JIMERSON|301-926-7100|Corporation|Other|APPROVED|05/23/1986|0|0|0|0|0|0
Philadelphia District Office| 112569|801-55295|KALSON & ASSOCIATES|KALSON GRANT D & ASSOCIATES INC|1105 TAYLORSVILLE ROAD|SUITE A|WASHINGTON CROSSING PA 18977|USA|||  ||ELAINE G. KALSON|215-968-6851|Corporation|Pension consulting services|APPROVED|07/10/1998|0|0|1|0|0|0
Philadelphia District 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 District 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 District Office| 113088|801-60307|GRAVITAS CAPITAL ADVISORS, LLC|GRAVITAS CAPITAL ADVISORS, LLC|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 District Office| 113299|801-64567|EDELMAN FINANCIAL SERVICES LLC|EDELMAN FINANCIAL SERVICES LLC|4000 LEGATO ROAD|9TH FLOOR|FAIRFAX VA 22033|USA|||  ||FREDRIC M. EDELMAN|703-818-0800|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), Publication of periodicals or newsletters|APPROVED|08/23/2005|0|1|0|0|0|0
Philadelphia District Office| 113317|801-60420|EMERGING TECHNOLOGY PARTNERS, LLC|EMERGING TECHNOLOGY PARTNERS, LLC|1901 RESEARCH BLVD.|SUITE 350|ROCKVILLE MD 20850|USA|||  ||WILLIAM SNIDER|301-222-2204|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/20/2001|0|0|0|0|0|0
Philadelphia District 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|Portfolio management for individuals and/or small businesses|APPROVED|06/26/2001|0|0|0|0|0|0
Philadelphia District Office| 113426|801-28429|THETFORD INVESTMENT MANAGEMENT, INC.|THETFORD INVESTMENT MANAGEMENT, INC.|823 EAST MAIN STREET, SUITE 1313|P.O. BOX 1397|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, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/15/1986|0|0|0|0|0|0
Philadelphia District Office| 113518|801-60369|PEOPLES FIRST FINANCIAL SERVICES, INC|PEOPLES FIRST FINANCIAL SERVICES, INC|919 CONESTOGA RD|BUILDING ONE, SUITE 100|ROSEMONT PA 19010|USA|||  ||BETTY ANN TAYLOR|610-520-0250|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|06/25/2001|0|0|0|0|0|0
Philadelphia District 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 District 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 District Office| 113678|801-61179|STRATEGIC WEALTH MANAGEMENT GROUP, LLC|STRATEGIC WEALTH MANAGEMENT GROUP, LLC|7300 GRACE DRIVE||COLUMBIA MD 21044|USA|||  ||SHAUN 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 District Office| 113679|801-60457|AZROC SECURITIES, INC.|AZROC SECURITIES, INC.|CORPORATE ONE BLDG 1 SUITE 410|4055 MONROEVILLE BLVD|MONROEVILLE PA 15146|USA|||  ||MOHAMMAD A. SAMAD|412-372-1750|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|08/06/2001|0|0|0|0|0|0
Philadelphia District 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 District 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|1|0|0|0|0
Philadelphia District 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 District Office| 113908|801-60468|LEGACY ADVISORS, LLC|LEGACY ADVISORS, LLC|7918 JONES BRANCH DR. SUITE 750||MCLEAN VA 22102|USA|||  ||SUE MCKEOWN|(703)748-5811|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|08/17/2001|0|0|0|0|0|0
Philadelphia District Office| 113989|801-60581|KOHLHEPP INVESTMENT ADVISORS, LTD.|KOHLHEPP INVESTMENT ADVISORS, LTD.|150 E. 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 District Office| 114057|801-60837|ROUMELL ASSET MANAGEMENT, LLC|ROUMELL ASSET MANAGEMENT, LLC|3 BETHESDA METRO CENTER|SUITE 700|BETHESDA MD 20814|USA|||  ||JAMES ROUMELL|301 961-1570|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|01/10/2002|0|0|0|0|0|0
Philadelphia District 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 District 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 District 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 District Office| 114494|801-61362|PARSONS CAPITAL MANAGEMENT, LLC|PARSONS CAPITAL MANAGEMENT, LLC|718 PHILADELPHIA ROAD||EASTON PA 18042|USA|||  ||RUSSELL J. PARSONS|(610) 258-4300|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|08/02/2002|0|0|0|0|0|0
Philadelphia District 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 District Office| 114722|801-60649|POTOMAC FINANCIAL GROUP|POTOMAC FINANCIAL SERVICES, INC.|18310 MONTGOMERY VILLAGE AVE.|SUITE 420|GAITHERSBURG MD 20879|USA|||  ||JAMES P. RUTH|301-948-3900|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|10/19/2001|0|0|0|0|0|0
Philadelphia District Office| 114957|801-64045|PROFESSIONAL FINANCIAL SOLUTIONS, LLC|PROFESSIONAL FINANCIAL SOLUTIONS, LLC|10517A WEST DRIVE||FAIRFAX VA 22030|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 District Office| 114994|801-64256|AMERICAN SECURITY INVESTMENT ADVISORS, INC.|AMERICAN SECURITY INVESTMENT ADVISORS, INC.|7901 JONES BRANCH DRIVE|SUITE 210|MCLEAN VA 22102|USA|||  ||VIVIAN BRUNNER|703-287-9721|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/06/2005|0|1|0|0|0|0
Philadelphia District Office| 115130|801-61069|TEAM FINANCIAL MANAGERS|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 District 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 businesses or institutional clients (other than investment companies)|APPROVED|11/05/2001|0|0|0|0|0|0
Philadelphia District 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 District 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|610-444-3300|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 District 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 District 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 District Office| 115447|801-60802|PARATA CAPITAL MANAGEMENT|PARATA ANALYTICS RESEARCH|9100 ARBORETUM PARKWAY|SUITE 230|RICHMOND VA 23236|USA|||  ||MIKE HOOVER|804-272-7530|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/21/2001|0|0|0|0|0|0
Philadelphia District 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 District 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 District Office| 115645|801-62848|MAROTTA ASSET 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|APPROVED|03/10/2004|0|0|0|0|0|0
Philadelphia District Office| 115662|801-61547|NICHOLAS YRIZARRY & ASSOCIATES LLC|NICHOLAS YRIZARRY & ASSOCIATES LLC INVESTMENT ADVISORY SERVICES|625 ELDEN STREET  #202||HERNDON 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 District 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 District Office| 115810|801-61451|WAYPOINT ADVISORS, LLC|WAYPOINT ADVISORS, LLC|999 WATERSIDE DRIVE|SUITE 2430|NORFOLK VA 23510|USA|||  ||KEVIN J. ZYWNA, CFP|(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 District 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 District Office| 115948|801-60941|MIDDLETON GARDINER GROUP, LLC|MIDDLETON GARDINER GROUP, LLC|570 BALTIMORE-ANNAPOLIS BLVD||SEVERNA PARK MD 21146|USA|||  ||LINDA LESSEY|410-647-7777|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/22/2002|0|0|0|0|0|0
Philadelphia District Office| 115962|801-65942|MCKINNON ASSET MANAGEMENT, INC.|MCKINNON ASSET MANAGEMENT, INC.|999 WATERSIDE DRIVE STE 1200||NORFOLK VA 23510|USA|||  ||GLENDA MCKINNON|757-623-4636|Corporation|Portfolio management for individuals and/or small businesses, Other|APPROVED|01/31/2006|0|5|0|0|0|0
Philadelphia District Office| 115991|801-61415|LEGACY ANALYTICS, LLC|LEGACY ANALYTICS, LLC|7601 LEWINSVILLE RD|SUITE 460|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 District Office| 116021|801-60628|PFG FINANCIAL ADVISORS|PFG FINANCIAL ADVISORS|270 WALKER DRIVE||STATE COLLEGE PA 16801|USA|||  ||ROBERT E. MCNICHOL|(814) 238-0544|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|10/05/2001|0|0|0|0|0|0
Philadelphia District 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 District 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 District 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 District Office| 116218|801-62425|FINANCIAL VISION LLC|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 District 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|APPROVED|02/13/2004|0|0|0|0|0|0
Philadelphia District 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 District Office| 116379|801-60824|INVESTMENT COUNSELORS OF MARYLAND|INVESTMENT COUNSELORS OF MARYLAND LLC|803 CATHEDRAL STREET||BALTIMORE MD 21201|USA|||  ||LINDA 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 District 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 District Office| 116524|801-64887|MIDATLANTIC CAPITAL MANAGEMENT, INC.|MIDATLANTIC CAPITAL MANAGEMENT, INC.|1911 HUGUENOT ROAD|SUITE 300|RICHMOND VA 23235|USA|P. O. BOX 35012||RICHMOND VA 23235|USA|JOHN F. DEPEW|(804) 378-0107|Corporation|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
Philadelphia District 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|||  ||ALAN J. COHN|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 District 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|APPROVED|05/22/2002|0|0|0|0|0|0
Philadelphia District 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 District 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 District 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)|APPROVED|06/17/2004|0|0|0|0|0|0
Philadelphia District 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 District 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 District 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 District Office| 117010|801-60671|CAMDEN PRIVATE CAPITAL|CAMDEN PARTNERS EQUITY MANAGERS I, LLC|ONE SOUTH STREET|SUITE 2150|BALTIMORE MD 21202|USA|||  ||DONALD W. HUGHES|410-895-3800|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 District Office| 117011|801-60669|CAMDEN PARTNERS HOLDINGS, LLC|CAMDEN PARTNERS HOLDINGS, LLC|ONE SOUTH STREET|SUITE 2150|BALTIMORE MD 21202|USA|||  ||DONALD W. HUGHES|410-895-3800|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 District Office| 117013|801-60670|CAMDEN PRIVATE CAPITAL|CAMDEN PARTNERS PRIVATE EQUITY ADVISORS, LLC|ONE SOUTH STREET|SUITE 2150|BALTIMORE MD 21202|USA|||  ||DONALD W. HUGHES|410-895-3800|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 District 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|||  ||MADELINE BARKHORN|212-762-7206|Other (specify)|Portfolio management for investment companies, Other|APPROVED|12/17/2001|0|2|16|0|0|0
Philadelphia District Office| 117064|801-62076|EAN EQUITY FINANCIAL SERVICES LLC|EAN EQUITY FINANCIAL SERVICES LLC|12069 TECH ROAD||SILVER SPRING MD 20904|USA|||  ||ERIC A NORBERG|301 622-3195|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 District 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 District Office| 117272|801-63027|BARRETT CAPITAL MANAGEMENT,LLC|BARRETT CAPITAL MANAGEMENT,LLC|2318 ROBIOUS STATION CIRCLE||MIDLOTHIAN VA 23113|USA|||  ||CHRISTINE 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 District Office| 117763|801-60764|CARNEGIE WEALTH ADVISORS, LLC|CARNEGIE WEALTH ADVISORS, LLC|667 EXTON COMMONS||EXTON PA 19341|USA|||  ||ROY JOHNSTON|610-640-4300|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), Pension consulting services, Selection of other advisers|APPROVED|12/06/2001|0|0|0|0|0|0
Philadelphia District Office| 117808|801-64686|STEBEN & COMPANY, INC.|STEBEN & COMPANY, INC.|2099 GAITHER ROAD, SUITE 200||ROCKVILLE MD 20850|USA|||  ||PIERRE N. MCDONNAUGH|240-631-9808|Corporation|Selection of other advisers, Other|APPROVED|09/13/2005|0|0|0|0|0|0
Philadelphia District 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 District Office| 117899|801-60754|BRUCE M. WIENER FINANCIAL PLANNER|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 District 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), Pension consulting services, Selection of other advisers|APPROVED|02/01/2002|0|0|0|0|0|0
Philadelphia District 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 District Office| 117969|801-62995|ROOF ADVISORY GROUP, INC.|ROOF ADVISORY GROUP, INC.|507 N. FRONT STREET||HARRISBURG PA 17101|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 District 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 District Office| 118107|801-66216|ALPHA ADVISORS, LLC|ALPHA ADVISORS, LLC|3951 WESTERRE PARKWAY|SUITE 130|RICHMOND VA 23233|USA|||  ||R. DOUGLAS WALLACE|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 District Office| 118114|801-63116|HERBEIN WEALTH MANAGEMENT, L.L.C.|HERBEIN WEALTH MANAGEMENT, L.L.C.|1075 BERKSHIRE BLVD|SUITE 850|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, Other|APPROVED|05/17/2004|0|1|0|0|0|0
Philadelphia District 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)|APPROVED|10/15/2002|0|0|0|0|0|0
Philadelphia District Office| 118370|801-60873|ALLISON STREET ADVISORS|ALLISON STREET ADVISORS|501 L STREET NW STE 2||WASHINGTON DC 20001|USA|||  ||LENDA WASHINGTON|202-682-9399|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/28/2002|0|0|0|0|0|0
Philadelphia District 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|FOX, CHARLES KEELY|804-359-3900|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/15/2001|0|1|0|0|0|0
Philadelphia District 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 District Office| 118643|801-63803|LOPEZ & ASSOCIATES LLC|LOPEZ & ASSOCIATES LLC|955 WEST MAIN STREET||ABINGDON VA 24210|USA|||  ||J. WADE LOPEZ|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 District 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), Pension consulting services|APPROVED|07/03/2002|0|0|0|0|0|0
Philadelphia District 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 District Office| 118923|801-61197|LOUNTZIS ASSET MANAGEMENT, LLC|LOUNTZIS ASSET MANAGEMENT, LLC|50 COMMERCE DRIVE||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 District Office| 119010|801-60951|CHESAPEAKE INVESTMENT MANAGEMENT LLC|CHESAPEAKE INVESTMENT MANAGEMENT LLC|805 - 15TH STREET, NW|SUITE 900|WASHINGTON DC 20005|USA|||  ||SCOTT E. BECK|202-419-5131|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/21/2002|0|0|0|0|0|0
Philadelphia District 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|APPROVED|06/13/2005|0|0|0|0|0|0
Philadelphia District 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 District 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 District 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 District Office| 119284|801-61967|COMPREHENSIVE INVESTMENT SOLUTIONS, LLC|COMPREHENSIVE INVESTMENT SOLUTIONS, LLC|1002 FLORAL VALE BLVD.||YARDLEY PA 19067|USA|||  ||DIANE KELLY|215-497-5050|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|04/01/2003|0|0|0|0|0|0
Philadelphia District 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 District 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 District 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 District Office| 119724|801-61116|PENN STREET INVESTMENT ADVISORS, INC.|PENN STREET INVESTMENT ADVISORS, INC.|83 GENERAL WARREN BOULEVARD|SUITE 200|MALVERN PA 19355|U.S.A.|||  ||JOHN ROMAN|(610) 232-1700|Corporation|Portfolio management for investment companies, Selection of other advisers|APPROVED|05/13/2002|0|1|0|0|0|0
Philadelphia District 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 District Office| 119897|801-62614|GUIDANCE INVESTMENTS, LLC|GUIDANCE INVESTMENTS, LLC|5203 LEESBURG PIKE SKYLINE2, SUITE 705||FALLS CHURCH VA 22041|USA|||  ||DR. PRABIR DATTA|703.245.3637|Limited Liability Company|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|01/09/2004|0|0|0|0|0|0
Philadelphia District Office| 119909|801-65313|MOSAIC WEALTH MANAGEMENT|MOSAIC INVESTMENT SOLUTIONS, LLC|ONE DEMOCRACY PLAZA|6701 DEMOCRACY BLVD, SUITE 505|BETHESDA MD 20817|USA|||  ||ANNETTE SIMON|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)|APPROVED|01/17/2006|0|0|0|0|0|0
Philadelphia District 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 District 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 District 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 District 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|||  ||EDWARD J. JACOBSON|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 District Office| 120252|801-61217|RYDEX CAPITAL PARTNERS I, LLC|RYDEX CAPITAL PARTNERS I, LLC|9601 BLACKWELL ROAD, SUITE 500||ROCKVILLE MD 20850|USA|||  ||JOANNA  HAIGNEY|301-296-5241|Limited Liability Company|Portfolio management for investment companies|APPROVED|05/31/2002|0|1|0|0|0|0
Philadelphia District Office| 120282|801-61218|RYDEX CAPITAL PARTNERS II, LLC|RYDEX CAPITAL PARTNERS II, LLC|9601 BLACKWELL ROAD, SUITE 500||ROCKVILLE MD 20850|USA|||  ||JOANNA HAIGNEY|301-296-5241|Limited Liability Company|Other|APPROVED|05/31/2002|0|1|0|0|0|0
Philadelphia District 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 District Office| 120469|801-63061|SHADWELL CAPITAL LC|SHADWELL CAPITAL LC|ONE SNL PLAZA||CHARLOTTESVILLE VA 22902|USA|||  ||DANIEL OAKEY|434-951-7595|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/30/2004|0|0|0|0|0|0
Philadelphia District Office| 120499|801-63367|PRIME SOLUTIONS FINANCIAL SERVICES CORP.|PRIME SOLUTIONS FINANCIAL SERVICES CORP.|721 DRESHER ROAD|SUITE 2400|HORSHAM PA 19044|USA|||  ||ROBERT J. WALKER|(215)657-9400|Corporation|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|08/02/2004|0|0|0|0|0|0
Philadelphia District 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, Selection of other advisers, Other|APPROVED|06/07/2002|0|0|0|0|0|0
Philadelphia District Office| 120557|801-61143|GLOBAL CAPITAL MANAGEMENT, INC.|GLOBAL CAPITAL MANAGEMENT, INC.|ONE 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 District 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 District 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 District 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, Pension consulting services, Selection of other advisers|APPROVED|09/06/2002|0|0|0|0|0|0
Philadelphia District Office| 120947|801-61291|1777 CAPITAL, INC.|1777 CAPITAL, INC.|381 BRINTON LAKE ROAD||THORNTON PA 19373|USA|||  ||MICHAEL P. DEVER|610.361.1000 X210|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/01/2002|0|0|0|0|0|0
Philadelphia District Office| 121018|801-61447|MELTZER WEALTH MANAGEMENT|MELTZER WEALTH MANAGEMENT|6500 ROCK SPRING DRIVE|SUITE 500|BETHESDA MD 20817|USA|||  ||NEAL SIMON|301-581-7315|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|09/19/2002|0|0|0|0|0|0
Philadelphia District Office| 121098|801-61579|SOVEREIGN BANK|SOVEREIGN BANK|1130 BERSHIRE BLVD||WYOMISSING PA 19610|USA|||  ||BARBARA KANNHEISER|732 657 2400|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|11/08/2002|0|0|0|0|0|0
Philadelphia District Office| 121193|801-62985|FUHRMAN MANAGEMENT ASSOCIATES, INC.|FUHRMAN MANAGEMENT ASSOCIATES, INC.|602 OFFICE CENTER DRIVE, SUITE 115||FORT WASHINGTON PA 19034|USA|||  ||DAVID FUHRMAN|215-619-4004|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|04/14/2004|0|0|0|0|0|0
Philadelphia District 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 District Office| 121240|801-64113|WOOD & WHITE INVESTMENT ADVISORS, L.L.C.|WOOD & WHITE INVESTMENT ADVISORS, L.L.C.|801 MAIN STREET, SUITE 801||LYNCHBURG VA 24504|USA|P.O. BOX 717||LYNCHBURG VA 24505|USA|CHARLES BABER WHITE|434-528-4510|Limited Liability Company|Financial planning services, 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
Philadelphia District 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 District 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 District 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 District Office| 121448|801-64344|GROSS INVESTMENTS|AUG, INC.|8 N. QUEEN STREET, 10TH FL.||LANCASTER PA 17603|USA|||  ||STEPHANIE SMITH|717-299-4423|Corporation|Portfolio management for individuals and/or small businesses, Other|APPROVED|05/24/2005|0|0|0|0|0|0
Philadelphia District 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 District 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 District Office| 121534|801-62679|SHAKER FINANCIAL SERVICES|RICHARD J. SHAKER, D.B.A. SHAKER FINANCIAL SERVICES|1094 MAGOTHY CIRCLE||ANNAPOLIS MD 21401|USA|||  ||RICHARD SHAKER|410-626-7914|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|01/23/2004|0|1|0|0|0|0
Philadelphia District 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 District Office| 121662|801-64627|FALCON CAPITAL MANAGEMENT, INC.|FALCON CAPITAL MANAGEMENT, INC.|12020 BLACKBERRY TERRACE||NORTH POTOMAC MD 20878|USA|||  ||PAUL GLASHOFER|(301)977-9178|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|09/12/2005|0|0|0|0|0|0
Philadelphia District Office| 121700|801-62118|RODGERS & ASSOCIATES, P.C.|RODGERS & ASSOCIATES, P.C.|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 District 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 District 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|||  ||DEBRA JEAN GOODNIGHT|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 District 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 District Office| 122229|801-66258|R&M WEALTH MANAGEMENT SERVICES, LLC|R&M WEALTH MANAGEMENT SERVICES, LLC|6905 ROCKLEDGE DRIVE|SUITE 700|BETHESDA MD 20817|USA|||  ||JAMES D. WARRING|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 District 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 District Office| 122282|801-62308|FOUNDING ASSET MANAGEMENT, INC.|FOUNDING ASSET MANAGEMENT, INC.|180 ADMIRAL COCHRANE DRIVE|SUITE 560|ANNAPOLIS MD 21401|USA|||  ||KEITH DUNLEAVY|410.897.9300|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/08/2003|0|0|0|0|0|0
Philadelphia District Office| 122300|801-63631|SELKER ADVISORS|SELKER, RICHARD ALBERT|1105 BOYCE ROAD||PITTSBURGH PA 15241|USA|||  ||AUDRA M. TIMCZYK|724-969-1005|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|11/12/2004|0|0|0|0|0|0
Philadelphia District Office| 122389|801-61433|BERKSHIRE ADVISORS, INC.|BERKSHIRE ADVISORS, INC.|2240 RIDGEWOOD ROAD||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 District Office| 122460|801-64002|RETIREMENT ADVISORS, INC.|RETIREMENT ADVISORS, INC.|453 VALLEY BROOK ROAD|SUITE 400|MCMURRAY PA 15317|USA|||  ||LISA C. OSTERHAUS|724-348-6009|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 District Office| 122474|801-61508|MADISON FINANCIAL ADVISORS, LLC|MADISON FINANCIAL ADVISORS, 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), Pension consulting services|APPROVED|10/11/2002|0|0|0|0|0|0
Philadelphia District 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 District 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 District 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 District 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 District 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 District 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 District 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 District Office| 122908|801-61574|HFS ASSOCIATES, INC.|HFS ASSOCIATES, INC.|4 TOWER BRIDGE STE.300|200 BARR HARBOR DRIVE|W. CONSHOHOCKEN PA 19428-2979|USA|||  ||PATRICIA A. DALINA|610-832-5234|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|11/22/2002|0|1|0|0|0|0
Philadelphia District Office| 123095|801-64105|ANNAPOLIS FINANCIAL SERVICES, LLC|ANNAPOLIS FINANCIAL SERVICES, LLC|2103 BAY DRIVE||ANNAPOLIS MD 21401|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 District 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 District Office| 123161|801-61568|ARTHURS LESTRANGE INVESTMENT ADVISORY, INC.|ARTHURS LESTRANGE INVESTMENT ADVISORY, INC.|TWO GATEWAY CENTER|SUITE 1630|PITTSBURGH PA 15222|USA|||  ||BRIAN G. ORR|412-566-6800|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 District Office| 123286|801-61829|ROBLE ASSET MANAGEMENT COMPANY|ROBLE ASSET MANAGEMENT COMPANY|2200 GEORGETOWNE DRIVE|SUITE 200|PITTSBURGH PA 15143|USA|||  ||ROGER ROBLE|724-395-4990|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|03/31/2003|0|1|9|0|0|0
Philadelphia District Office| 123560|801-62505|CONRAD SIEGEL INVESTMENT ADVISORS, INC.|CONRAD SIEGEL INVESTMENT ADVISORS, INC.|501 CORPORATE CIRCLE||HARRISBURG PA 17110|USA|||  ||TARA L. MASHACK-BEHNEY|(717)652-5633|Corporation|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 District Office| 123652|801-61699|VALLEY FORGE CAPITAL ADVISORS, INC.|VALLEY FORGE CAPITAL ADVISORS, INC.|83 GENERAL WARREN BLVD.|SUITE 200|MALVERN PA 19355|USA|83 GENERAL WARREN BLVD.|SUITE 200|MALVERN PA 19355|USA|KATHLEEN B. ROMAN|610-232-1707|Corporation|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|01/09/2003|0|0|0|0|0|0
Philadelphia District 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 businesses or institutional clients (other than investment companies)|APPROVED|02/04/2003|0|0|0|0|0|0
Philadelphia District Office| 123718|801-61600|CMS FUND ADVISERS, INC.|CMS FUND ADVISERS, INC.|1926 ARCH STREET||PHILADELPHIA PA 19103-1484|USA|||  ||DONNA M. RITTERSHAUSEN|215-246-3017|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 District Office| 124205|801-61693|WEALTH AND TAX ADVISORY SERVICES, INC.|WEALTH AND TAX ADVISORY SERVICES, INC.|1650 TYSONS BOULEVARD, SUITE 925||MCLEAN VA 22102|USA|||  ||SALVATORE IOCOLANO|(212) 525-2309|Corporation|Financial planning 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 District Office| 124234|801-61680|US ASSET MANAGEMENT, LLC|US ASSET MANAGEMENT, LLC|503 MARTINDALE STREET 7TH FL.||PITTSBURGH PA 15212|USA|||  ||CHRISTOPHER SHELBY|(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 District Office| 124274|801-61620|WASHINGTON INVESTMENT ADVISORS, INC.|WASHINGTON INVESTMENT ADVISORS, INC.|TWO RADNOR CORPORATE CENTER|SUITE 420|RADNOR PA 19087-4541|USA|P.O. BOX 8194||RADNOR PA 19087-8194|USA|TIMOTHY F. DEMERS|610 478-2167|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|11/22/2002|0|0|0|0|0|0
Philadelphia District 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 District Office| 124510|801-62470|WINDSOR FINANCIAL, LLC|WINDSOR FINANCIAL, LLC|8405 GREENSBORO DRIVE #700||MCLEAN VA 22102|USA|||  ||CATHERINE VIVONA|703-442-0600|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|10/24/2003|0|1|0|0|0|0
Philadelphia District 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 District Office| 124948|801-62444|FIRST MARKET BANK FINANCIAL GUIDANCE GROUP|FIRST MARKET BANK, F.S.B.|111 VIRGINIA STREET, SUITE 200||RICHMOND VA 23219|USA|||  ||STUART W. BLAIN|(804) 327-7500|Corporation|Financial planning services, 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|0|0|0|0|0
Philadelphia District Office| 125025|801-61850|GUIDANCE CAPITAL|GUIDANCE CAPITAL, LLC|700 ROCKLAND ROAD|SUITE 111|ROCKLAND DE 19732-9900|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 District 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 District Office| 125409|801-61844|THE ROCK CREEK GROUP, LP|THE ROCK CREEK GROUP, LP|1133 CONNECTICUT AVE., N.W.||WASHINGTON DC 20036|USA|||  ||SUDHIR KRISHNAMURTHI|(202) 331-3401|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/10/2003|0|0|0|0|0|0
Philadelphia District Office| 125428|801-62041|NEWMARKET CAPITAL PARTNERS, LLC|NEWMARKET CAPITAL PARTNERS, LLC|1926 ARCH STREET||PHILADELPHIA PA 19103|USA|||  ||PATRICIA YOUNG|215.246.3042|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 District Office| 125691|801-62102|AXIOM ASSET MANAGEMENT, LLC|AXIOM ASSET MANAGEMENT, 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|05/30/2003|0|0|0|0|0|0
Philadelphia District Office| 125766|801-61881|PIPICH BOUCEK PARTNERS, LLC|PIPICH BOUCEK PARTNERS, LLC|110 ROESSLER RD|SUITE 301|PITTSBURGH PA 15220|USA|||  ||THOMAS R.PIPICH|412-341-2349|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|03/19/2003|0|0|0|0|0|0
Philadelphia District Office| 125949|801-65971|ALBEMARLE ASSET MANAGEMENT LTD|ALBEMARLE ASSET MANAGEMENT LTD|290 FARMINGTON DRIVE||CHARLOTTESVILLE VA 22901|USA|||  ||JOSEPH ERDMAN|434-296-0525|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/01/2006|0|0|0|0|0|0
Philadelphia District Office| 126013|801-61882|OLD GLORY ASSET MANAGEMENT LLC|OLD GLORY ASSET MANAGEMENT LLC|5 GREAT VALLEY PARKWAY|SUITE 326|MALVERN PA 19355|USA|||  ||JOHN DOUGHERTY|610-648-3860|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/03/2003|0|0|0|0|0|0
Philadelphia District Office| 126319|801-62009|RETIREMENT INCOME ADVISERS|RETIREMENT INCOME ADVISERS|5553 WOODMONT STREET||PITTSBURGH PA 15217|USA|||  ||MICHAEL S. LANDO|412-521-6262|Other (specify)|Portfolio management for investment companies, Selection of other advisers|APPROVED|04/25/2003|0|0|0|0|0|0
Philadelphia District Office| 126508|801-62046|FRANKLIN PARK|FRANKLIN PARK ASSOCIATES, LLC|THREE BALA PLAZ|STE 116 WEST|BALA CYNWYD PA 19004|USA|||  ||KARL HARTMANN|610-664-1131 X10|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 District 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 District 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|0|0|0|0
Philadelphia District 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 District 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|0|0|0|0|0
Philadelphia District 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|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|04/19/2004|0|0|0|0|0|0
Philadelphia District 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 District Office| 127477|801-62946|THIRD SECURITY INVESTMENT ADVISERS INC|THIRD SECURITY INVESTMENT ADVISERS INC|1881 GROVE AVENUE||RADFORD VA 24141|USA|||  ||JULIAN P. KIRK|(540) 633-7927|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/26/2004|0|2|0|0|0|0
Philadelphia District Office| 127490|801-62172|NEW RIVER ADVISERS LLC|NEW RIVER ADVISERS LLC|1881 GROVE AVENUE||RADFORD VA 24141|USA|||  ||ROBERT M. PATZIG|(540) 633-7915|Limited Liability Company|Portfolio management for investment companies|APPROVED|08/13/2003|0|2|0|0|0|0
Philadelphia District 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 District Office| 127577|801-62224|SOLVERN CAPITAL MANAGEMENT|SOLVERN CAPITAL MANAGEMENT|802 CROMWELL PARK DRIVE|SUITE K|GLENN BURNIE MD 21061|USA|10430 SPENCER CT.||MITCHELLVILLE MD 20721|USA|ANDRE GUDGER|301-535-0295|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|07/17/2003|0|0|0|0|0|0
Philadelphia District Office| 127725|801-62231|TOLLEFSON GUSTINI & CO. INVESTMENT MANAGEMENT LLC|TOLLEFSON GUSTINI & CO. INVESTMENT MANAGEMENT LLC|5335 WISCONSIN AVENUE, NW|SUITE 930|WASHINGTON DC 20015|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 District 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 District Office| 127816|801-62663|DANIELS, BIDDLE + TANSEY, L.L.P.|DANIELS, BIDDLE + 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), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|01/06/2004|0|0|0|0|0|0
Philadelphia District Office| 127917|801-62528|SOL CAPITAL INTERNATIONAL LLC|SOL CAPITAL INTERNATIONAL LLC|6116 EXECUTIVE BLVD.,SUITE 401||ROCKVILLE MD 20852|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 District 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 District Office| 128171|801-62314|ROCKLEDGE PARTNERS, LLC|ROCKLEDGE PARTNERS, LLC|6701 DEMOCRACY BLVD.|SUITE 204|BETHESDA MD 20817|USA|||  ||WAYNE H. SHANER|301-897-2090|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 District Office| 128209|801-63057|1838 INVESTMENT ADVISORS,LP|1838 INVESTMENT ADVISORS,LP|2701 RENAISSANCE BLVD.|FOURTH FLOOR|KING OF PRUSSIA PA 19406|USA|||  ||DANIEL N. MULLEN|484-322-4284|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|04/20/2004|0|0|0|0|0|0
Philadelphia District 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|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/11/2004|0|0|0|0|0|0
Philadelphia District 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 District 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|||  ||BRENT MORSE|804-521-3339|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/12/2005|0|1|0|0|0|0
Philadelphia District Office| 128590|801-62557|ABACUS WEALTH PARTNERS|ABACUS WEALTH PARTNERS, LLC|1818 MARKET STREET, SUITE 2550||PHILADELPHIA PA 19103|USA|||  ||SUZANNE LAWRENCE|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)|APPROVED|01/02/2004|0|0|0|0|0|0
Philadelphia District 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|412-261-3644|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 District 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 District 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 District 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 District Office| 128960|801-62449|LASURE CAPITAL MANAGEMENT|LASURE CAPITAL MANAGEMENT, LTD.|131 SPROUL RD||MALVERN PA 19355|USA|||  ||DWIGHT LASURE|610-338-0731|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/21/2003|0|0|0|0|0|0
Philadelphia District Office| 129052|801-66195|PNC INVESTMENTS|PNC INVESTMENTS LLC|620 LIBERTY AVENUE|26TH FLOOR|PITTSBURGH PA 15222|USA|||  ||JAMES J. RABENSTINE|(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|0|0|0|0
Philadelphia District 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, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/09/2005|0|1|0|0|0|0
Philadelphia District Office| 129120|801-62471|ALEXANDRIA FINANCIAL ASSOCIATES|BOTREE ASSET MANAGEMENT, LLC|1800 NORTH BEAUREGARD STREET|SUITE 75|ALEXANDRIA VA 22311|USA|||  ||MARK CALISTI|703 671-5959|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), Other|APPROVED|10/01/2003|0|0|0|0|0|0
Philadelphia District Office| 129536|801-62537|PASSPORT RESEARCH II, LTD.|PASSPORT RESEARCH II, LTD.|FEDERATED INVESTORS TOWER|1001 LIBERTY AVE|PITTSBURGH PA 15222-3779|USA|||  ||BRIAN P. BOUDA|412-288-8634|Partnership|Portfolio management for investment companies|APPROVED|12/19/2003|0|30|7|0|0|0
Philadelphia District Office| 129617|801-62568|MONTGOMERY BROTHERS, CAPPIELLO, LLC|MONTGOMERY BROTHERS, CAPPIELLO, LLC|1730 RHODE ISLAND AVE, NW.|STE 206|WASHINGTON DC 20036|USA|||  ||BRUCE LABAW|202 861 2380|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 District Office| 129840|801-62700|GOULD INVESTMENT PARTNERS LLC|GOULD INVESTMENT PARTNERS LLC|1235 WESTLAKES DRIVE|SUITE 280|BERWYN PA 19312-2412|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 District 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 District Office| 129909|801-62900|GAMMA CAYMAN CAPITAL ADVISORS LTD.|GAMMA CAYMAN CAPITAL ADVISORS LTD.|555 CROTON ROAD|STE. 111|KING OF PRUSSIA PA 19406|USA|||  ||CHRISTOPHER NUNEVILLER|610-265-8116|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/02/2004|0|0|0|0|0|0
Philadelphia District Office| 129918|801-62899|GAMMA CAPITAL ADVISORS LTD.|GAMMA CAPITAL ADVISORS LTD.|555 CROTON ROAD, SUITE 111||KING OF PRUSSIA PA 19406|USA|||  ||CHRISTOPHER NUNEVILLER|610-265-8116|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/02/2004|0|0|0|0|0|0
Philadelphia District Office| 129954|801-62676|REDSTONE INVESTMENT MANAGEMENT LP|REDSTONE INVESTMENT MANAGEMENT LP|1055 WESTLAKES DRIVE|SUITE 300|BERWYN PA 19312|USA|||  ||SCOTT A BURNEY|610-727-3702|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 District Office| 130099|801-62689|INVESTURE, LLC|INVESTURE, LLC|222 SOUTH STREET||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 District 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 District 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|JEAN PAVEK|570-296-5525|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|02/09/2004|0|0|0|0|0|0
Philadelphia District 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 District 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 District Office| 130174|801-62696|MONACO CAPITAL MANAGEMENT, LLC|MONACO CAPITAL MANAGEMENT, LLC|621 LYNNHAVEN PKWY. SUITE 208||VIRGINIA BEACH VA 23452|USA|PO BOX 9023||VIRGINIA BEACH VA 23450-9023|USA|ANDREA L DALLAVILLA|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 District Office| 130342|801-65573|PLAINVIEW CAPITAL EQUITY PARTNERS, LLC|PLAINVIEW CAPITAL EQUITY PARTNERS, LLC|111 SOUTH CALVERT STREET|SUITE 2700|BALTIMORE MD 21202|USA|||  ||JASON HODELL|240-832-2215|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 District Office| 130417|801-62799|PROVIDENT WEALTH COMPANY, LLC|PROVIDENT WEALTH COMPANY, LLC|WATERFRONT CORPORATE PARK|21OO GEORGETOWN DRIVE STE 302|SEWICKLEY PA 15143|USA|||  ||KEITH E. MCKISSOCK|724-934-2000|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
Philadelphia District Office| 130457|801-64183|SPARTAN CAPITAL MANAGEMENT, LLC|SPARTAN CAPITAL MANAGEMENT, LLC|501 WEST STREET ROAD||WEST CHESTER PA 19382-7212|USA|P.O. BOX 573||NEWTOWN SQUARE PA 19073-0573|USA|SUSAN L. BARTELS|610-399-8201|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|04/18/2005|0|0|0|0|0|0
Philadelphia District Office| 130458|801-62818|FINANCIAL INTEGRITY ADVISORS, LLC|FINANCIAL INTEGRITY ADVISORS, LLC|1601 MARKET STREET,|SUITE 1010|PHILADELPHIA PA 19103-2328|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 District Office| 130540|801-62855|CAMDEN PARTNERS STRATEGIC MANAGER, LLC|CAMDEN PARTNERS STRATEGIC MANAGER, LLC|ONE SOUTH STREET|SUITE 2150|BALTIMORE MD 21202|USA|||  ||DONALD W. HUGHES|410-895-3800|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 District 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 investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|03/12/2004|0|0|0|0|0|0
Philadelphia District Office| 130774|801-63084|TOBIAS CAPITAL L.P.|TOBIAS CAPITAL L.P.|401 CITY AVENUE, SUITE 502||BALA CYNWYD PA 19004|USA|||  ||SETH PLATT|(212) 521-5050|Partnership|Other|APPROVED|05/07/2004|0|0|0|0|0|0
Philadelphia District 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 District Office| 131186|801-63092|SOLENTURE ADVISORS LLC|SOLENTURE ADVISORS LLC|FOUR GATEWAY CENTER|444 LIBERTY AVENUE, SUITE 1105|PITTSBURGH PA 15222|USA|||  ||JEFFREY R. SALM|412-281-5472|Limited Liability Company|Financial planning services, Pension consulting services, Selection of other advisers, Other|APPROVED|04/23/2004|0|0|0|0|0|0
Philadelphia District 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 District Office| 131506|801-64898|PORTFOLIO DESIGN SERVICES, LLC|PORTFOLIO DESIGN SERVICES, LLC|3339-3-H CIRCLE BROOK DRIVE||ROANOKE VA 24018|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 District Office| 131567|801-63449|CMG INVESTMENT ADVISORS,LLC|CMG INVESTMENT ADVISORS,LLC|150 N. RADNOR-CHESTER ROAD||RADNOR PA 19087|USA|||  ||STEPHEN B. 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)|APPROVED|08/23/2004|0|0|0|0|0|0
Philadelphia District Office| 131637|801-63251|INTERNET STOCK EXCHANGE INVESTMENT CLUB|MESSINA, PETER JOSEPH|5357 COLUMBIA ROAD|SUITE C|COLUMBIA MD 21044|USA|||  ||PETER MESSINA|410-884-7397|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|06/29/2004|0|0|0|0|0|0
Philadelphia District Office| 131777|801-65303|OFK ADVISORY SERVICES,INC.|OFK ADVISORY SERVICES,INC.|12010 SUNSET HILLS ROAD|#875|RESTON VA 20190|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 District 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 District 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|Pension consulting services, Selection of other advisers|APPROVED|10/19/2004|0|0|0|0|0|0
Philadelphia District 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|0|0|0|0
Philadelphia District Office| 131976|801-63706|D'ORAZIO & ASSOCIATES, INC.|D'ORAZIO & ASSOCIATES, INC.|7600 LEESBURG PIKE|SUITE 460 E|FALLS CHURCH VA 22043|USA|||  ||JOSEPH D'ORAZIO|703-542-0195|Corporation|Financial 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 District Office| 132005|801-63341|KANAWHA ASSET MANAGEMENT|KANAWHA ASSET MANAGEMENT LLC|2000 DEITRICK BLVD||CHARLESTON WV 25311|USA|||  ||WILLIAM W. CARTER|304-346-3700|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 District 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 District 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 District 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 District 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 District 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 District Office| 132392|801-63404|PENNSYLVANIA AVENUE ADVISERS LLC|PENNSYLVANIA AVENUE ADVISERS LLC|4201 MASSACHUSETTS AVE NW #8037C||WASHINGTON DC 20016-4751|USA|||  ||THOMAS KIRCHNER|202-364 8395|Limited Liability Company|Portfolio management for investment companies|APPROVED|08/11/2004|0|0|0|0|0|0
Philadelphia District Office| 132430|801-63392|LEVIN FINANCIAL SERVICES, INC.|LEVIN FINANCIAL SERVICES, INC.|10 NEW PLANT COURT||OWINGS MILLS MD 21117|USA|||  ||DANIEL PATRICK HIPSLEY|410-654-1234|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|07/30/2004|0|0|0|0|0|0
Philadelphia District Office| 132513|801-64185|SBK FINANCIAL, INC.|SBK FINANCIAL, INC.|9030 STONY POINT PARKWAY|SUITE 585|RICHMOND VA 23235|USA|||  ||KEVIN KING|804-237-1700|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/09/2005|0|0|0|0|0|0
Philadelphia District Office| 132580|801-63529|KIRCHENBAUER FINANCIAL MANAGEMENT & CONSULTING|KIRCHENBAUER, LISA ANNE KIRKPATRICK|4301 N. FAIRFAX DRIVE|SUITE 370|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 District Office| 132584|801-63674|STELLAR ADVISORS, INC|STELLAR ADVISORS, INC|600 MAIN STREET|SUITE 100|STROUDSBURG PA 18360|USA|||  ||JORDAN LOEWER|925-937-5238|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|0|0|0|0|0
Philadelphia District Office| 132667|801-63479|ROLL & ROSS ASSET MANAGEMENT, L.P.|ROLL & ROSS ASSET MANAGEMENT, L.P.|583 SKIPPACK PIKE|SUITE 500|BLUE BELL PA 19422-2168|USA|||  ||YUHAS, ALAN THOMAS|215-641-1448|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|09/15/2004|0|0|0|0|0|0
Philadelphia District Office| 132728|801-63595|GENERATION INVESTMENT MANAGEMENT US LLP|GENERATION INVESTMENT MANAGEMENT US LLP|750 17TH STREET, N.W.|11TH FLOOR|WASHINGTON DC 20006|USA|||  ||MR. PETER SAGE KNIGHT|202-785-7400|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
Philadelphia District Office| 132735|801-64512|RYDEX ADVISORY SERVICES, LLC|RYDEX ADVISORY SERVICES, LLC|9601 BLACKWELL ROAD|SUITE 500|ROCKVILLE MD 20850|USA|||  ||KEVIN FARRAGHER|301-296-5183|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/12/2005|0|0|0|0|0|0
Philadelphia District 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, Other|APPROVED|10/19/2004|0|0|0|0|0|0
Philadelphia District Office| 132959|801-63632|PROXY GOVERNANCE, INC.|PROXY GOVERNANCE, INC.|8000 TOWERS CRESCENT DRIVE|SUITE 1500|VIENNA VA 22182|USA|||  ||JAMES P MELICAN|703-245-5805|Corporation|Other|APPROVED|11/22/2004|0|0|0|0|0|0
Philadelphia District Office| 133113|801-64891|ARDMORE PARTNERS, LLC.|ARDMORE INVESTMENT PARTNERS, LLC|5 GREAT VALLEY PARKWAY|SUITE 311|MALVERN PA 19355|USA|||  ||BRIAN FERKO|610-952-9750|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|11/22/2005|0|0|0|0|0|0
Philadelphia District Office| 133114|801-63619|TICKNOR, ATHERTON AND ASSOCIATES|ATHERTON CONSULTING INC.|12110 SUNSET HILLS ROAD|#450|RESTON VA 20190|USA|||  ||MARK ATHERTON|703-476-3521|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|10/29/2004|0|0|0|0|0|0
Philadelphia District Office| 133149|801-65681|RFFM|RESOURCE FINANCIAL FUND MANAGEMENT, INC.|1845 WALNUT STREET|10TH FL.|PHILADELPHIA PA 19103|U.S.A.|||  ||DARSHAN PATEL|212-506-3806|Corporation|Other|APPROVED|01/27/2006|0|1|0|0|0|0
Philadelphia District Office| 133169|801-63846|DEKANIA CAPITAL MANAGEMENT, LLC|DEKANIA CAPITAL MANAGEMENT, LLC|405 SILVERSIDE ROAD||WILMINGTON DE 19809|USA|1818 MARKET STREET|28TH FLOOR|PHILADELPHIA PA 19103|USA|RAPHAEL LICHT|215-861-7884|Limited Liability Company|Other|APPROVED|02/04/2005|0|1|0|0|0|0
Philadelphia District Office| 133171|801-63845|COHEN BROS. FINANCIAL MANAGEMENT, LLC|COHEN BROS. FINANCIAL MANAGEMENT, LLC|405 SILVERSIDE ROAD||WILMINGTON DE 19809|USA|1818 MARKET STREET|28TH FLOOR|PHILADELPHIA PA 19103|USA|RAPHAEL LICHT|215-861-7884|Limited Liability Company|Other|APPROVED|02/04/2005|0|1|0|0|0|0
Philadelphia District Office| 133211|801-63633|LATUS CAPITAL MANAGEMENT|LATUS CAPITAL, LLC|3721 TECPORT DRIVE, SUITE 150||HARRISBURG PA 17111|USA|||  ||MICHAEL E. SALERNO|717-635-2161|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 District Office| 133229|801-63618|VTL ASSOCIATES, LLC|VTL ASSOCIATES, LLC|2005 MARKET STREET;33RD FLOOR||PHILADELPHIA PA 19103|USA|||  ||VINCENT T. LOWRY|(215)854-8181|Limited Liability Company|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 District 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 2000|BALTIMORE MD 21201-2496|USA|||  ||WILLIAM STEVENS CARROLL|410-244-3124|Limited Liability Company|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 District Office| 133246|801-64073|ARCHSTONE INVESTMENT MANAGEMENT|ARCHSTONE INVESTMENT MANAGEMENT|128 ORCHARD WAY||BERWYN PA 19312|USA|||  ||CHRISTIAN R. HYLDAHL|215-837-3456|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)|APPROVED|04/11/2005|0|0|0|0|0|0
Philadelphia District Office| 133311|801-63668|EXECUTIVE CAPITAL STRATEGIES LLC|EXECUTIVE CAPITAL STRATEGIES LLC|1202 WATERFORD RD.||WEST CHESTER PA 19380|USA|||  ||GREG ELINSKY|610-220-5981|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 District Office| 133329|801-63649|MARYLAND CAPITAL MANAGEMENT, LLC|MARYLAND CAPITAL MANAGEMENT, LLC|809 CATHEDRAL STREET||BALTIMORE MD 21201|USA|||  ||STEPHEN SCHULER|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 District Office| 133370|801-63656|LEGG MASON INVESTMENT COUNSEL, LLC|LEGG MASON INVESTMENT COUNSEL, LLC|100 LIGHT STREET||BALTIMORE MD 21202|USA|||  ||JENNIFER A. MALLON|410-454-3109|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|11/24/2004|0|0|0|0|0|0
Philadelphia District 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 District 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 District Office| 133447|801-63684|INDEPENDENCE PORTFOLIO PARTNERS, LLC|INDEPENDENCE PORTFOLIO PARTNERS, LLC|1720 WASHINGTON ROAD||WASHINGTON PA 15301|USA|1720 WASHINGTON ROAD|PO BOX 837|WASHINGTON PA 15301|US|SUSAN L. 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, Publication of periodicals or newsletters|APPROVED|01/03/2005|0|0|0|0|0|0
Philadelphia District 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 District Office| 133600|801-63959|KATZ FAMILY FINANCIAL ADVISORS, LLC|KATZ FAMILY FINANCIAL ADVISORS, LLC|7910 WOODMONT AVENUE|SUITE 1307|BETHESDA MD 20814|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 District Office| 133697|801-63790|SCHAEFFER FINANCIAL LLC|SCHAEFFER FINANCIAL LLC|ONE CHURCH STREET|SUITE 901|ROCKVILLE MD 20850|USA|||  ||KAREN SCHAEFFER|301-933-5550|Limited Liability Company|Financial planning services|APPROVED|01/03/2005|0|0|0|0|0|0
Philadelphia District 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 District 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 District Office| 134012|801-64212|STEWART CAPITAL ADVISORS, LLC|STEWART CAPITAL ADVISORS, LLC|43 SOUTH 9TH STREET||INDIANA PA 15701|USA|||  ||MALCOLM POLLEY|724-465-3458|Limited Liability Company|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 District Office| 134054|801-64465|ARIBA GLB GROUP, INC|ARIBA GLB GROUP, INC|2101 WILSON BLVD|STE 525|ARLINGTON VA 22201|USA|||  ||PATRICK 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|06/27/2005|0|0|0|0|0|0
Philadelphia District 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|0|0|0|0|0
Philadelphia District Office| 134156|801-63965|THE SEB GROUP, INC.|THE SEB GROUP, INC.|350 SOUTH RIVER ROAD|NO. D-5|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 District 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 businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|02/28/2005|0|0|0|0|0|0
Philadelphia District Office| 134311|801-64961|YARDLEY WEALTH MANAGEMENT LLC|YARDLEY WEALTH MANAGEMENT LLC|963 RANDOLPH DRIVE||YARDLEY PA 19067|USA|SILVER LAKE EXECUTIVE CAMPUS|41 UNIVERSITY DRIVE, SUITE 400|NEWTOWN PA 18940|USA|MICHAEL GARRY|267-573-1019|Limited 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|12/09/2005|0|0|0|0|0|0
Philadelphia District 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 individuals and/or small businesses, 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 District Office| 134358|801-63984|DWL ADVISORS, LLP|DWL ADVISORS, LLP|8100 THREE CHOPT ROAD|SUITE 101|RICHMOND VA 23229|USA|P. O. BOX K-200||RICHMOND VA 23288|USA|CAROLYN WHITE|804-285-8601|Limited Liability Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|02/25/2005|0|0|0|0|0|0
Philadelphia District Office| 134367|801-63961|SWEETWATER ASSET MANAGEMENT LLC|SWEETWATER ASSET MANAGEMENT LLC|375 SOUTHPOINTE BOULEVARD|SUITE 210|CANONSBURG PA 15317|USA|||  ||R. SCOTT UMSTEAD|724-745-7815|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/17/2005|0|0|0|0|0|0
Philadelphia District 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 District Office| 134436|801-64053|MYCIO WEALTH PARTNERS, LLC|MYCIO WEALTH PARTNERS, LLC|ONE LOGAN SQUARE|SUITE 2640|PHILADELPHIA PA 19103|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 District Office| 134445|801-65821|VERDIS WEALTH MANAGEMENT LLC|VERDIS WEALTH 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)|APPROVED|01/27/2006|0|0|0|0|0|0
Philadelphia District Office| 134454|801-64186|OVERTURE INVESTMENTS LLC|OVERTURE INVESTMENTS LLC|1717 ARCH STREET|34TH FLOOR|PHILADELPHIA PA 19103|USA|||  ||ANDREW T. SCHMUHL|267-498-4604|Limited Liability Company|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
Philadelphia District Office| 134516|801-64134|WISERADVISOR|WEBFINANCE INC.|7310-B MCWHORTER PLACE||ANNANDALE VA 22003|USA|||  ||THOMAS MURCKO|703-813-8140|Corporation|Selection of other advisers, Other|APPROVED|04/08/2005|0|0|0|0|0|0
Philadelphia District Office| 134574|801-64342|GIORDANO ASSET MANAGEMENT LLC|GIORDANO ASSET MANAGEMENT LLC|135 GORMAN STREET||ANNAPOLIS MD 21401|USA|||  ||JOSEPH A GIORDANO|410-269-0013|Limited Liability Company|Portfolio management for investment companies|APPROVED-120|07/13/2005|0|0|0|0|0|0
Philadelphia District 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, Selection of other advisers|APPROVED|03/25/2005|0|0|0|0|0|0
Philadelphia District Office| 134898|801-64235|OLD DOMINION FINANCIAL ADVISORS, LTD.|OLD DOMINION FINANCIAL ADVISORS, LTD.|203 ARCHWAY COURT||LYNCHBURG VA 24502|USA|||  ||LISA TAYLOR|434-316-0106|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|05/16/2005|0|0|0|0|0|0
Philadelphia District Office| 134956|801-64194|STRATEGOS CAPITAL MANAGEMENT, LLC|STRATEGOS CAPITAL MANAGEMENT, LLC|1818 MARKET STREET|SUITE 2800|PHILADELPHIA PA 19103|USA|||  ||RAPHAEL LICHT|215-861-7884|Limited Liability Company|Other|APPROVED|04/28/2005|0|1|0|0|0|0
Philadelphia District 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 District Office| 135184|801-64584|MCKINLEY INVESTMENT GROUP, INC.|MCKINLEY INVESTMENT GROUP, INC.|2000 MAIN 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 District 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 District Office| 135202|801-64608|PCG INTERNATIONAL LLC|PCG INTERNATIONAL LLC|1100 H STREET N.W.|SUITE 900|WASHINGTON DC 20005|USA|1200 PROSPECT STREET|SUITE 200|LA JOLLA CA 92037|USA|PHILIP POSNER|858-456-6000|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/23/2005|0|0|0|0|0|0
Philadelphia District 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 District 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-120|05/24/2005|0|0|0|0|0|0
Philadelphia District Office| 135652|801-64416|CLARKE BENNITT MANAGEMENT, LP|CLARKE BENNITT MANAGEMENT, LP|2 STATION WAY||CHADDS FORD PA 19317|USA|||  ||JUSTIN C. BENNITT|610-388-0001|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|06/24/2005|0|0|0|0|0|0
Philadelphia District 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 District 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 District Office| 135941|801-64858|WORLD CAPITAL ADVISORS, LLC|WORLD CAPITAL ADVISORS, LLC|8730 STONY POINT PARKWAY|SUITE 205|RICHMOND VA 23235|USA|||  ||JOHN PASCO, III|(804) 267-7400|Limited Liability Company|Financial planning services|APPROVED|11/18/2005|0|0|0|0|0|0
Philadelphia District Office| 135948|801-64443|MILESTONE CAPITAL ADVISORS, LLC|MILESTONE CAPITAL ADVISORS, LLC|7116 ARMAT DRIVE||BETHESDA MD 20817|USA|||  ||MURRY GUNTY|301.365.0051|Limited Liability Company|Other|APPROVED|01/24/2006|0|0|0|0|0|0
Philadelphia District Office| 135949|801-64444|MILESTONE CAPITAL MANAGEMENT I, LLC|MILESTONE CAPITAL MANAGEMENT I, LLC|1775 EYE STREET, NW|SUITE 800|WASHINGTON DC 20006|USA|||  ||SONJA RISNER|202.741.3663|Limited Liability Company|Other|APPROVED|08/05/2005|0|0|0|0|0|0
Philadelphia District Office| 135961|801-66093|GREAT OAK INVESTMENT MANAGEMENT LLC|GREAT OAK INVESTMENT MANAGEMENT LLC|3101 WILSON BLVD.|SUITE 210|ARLINGTON VA 22201|USA|||  ||MICHAEL S. FAINO|703 351-9210|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|01/27/2006|0|0|0|0|0|0
Philadelphia District Office| 136028|801-65461|RG CAPITAL MANAGEMENT, L.P.|RG CAPITAL MANAGEMENT, L.P.|THREE BALA PLAZA - EAST|SUITE 501|BALA CYNWYD PA 19004|USA|||  ||MARIA MCGARRY|610-680-5921|Other (specify)|Other|APPROVED|01/24/2006|0|0|0|0|0|0
Philadelphia District Office| 136104|801-64555|PREFERRED ADVISORY GROUP, INC.|PREFERRED ADVISORY GROUP, INC.|115 EVERGREEN HEIGHTS DRIVE||PITTSBURGH PA 15229|USA|||  ||MATT PREPELKA|412-415-5232|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|08/10/2005|0|0|0|0|0|0
Philadelphia District 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 District Office| 136313|801-64621|4SIGHT ADVISORS LLC|4SIGHT ADVISORS LLC|6016 LEE HWY||WARRENTON VA 20187|USA|||  ||MICHAEL SANDIFER|540-219-1025|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
Philadelphia District Office| 136343|801-64811|LONGBOAT CAPITAL MANAGEMENT, LLC|LONGBOAT CAPITAL MANAGEMENT, LLC|139 FREEPORT ROAD|SUITE 200|PITTSBURGH PA 15215|USA|||  ||MICHELE DECARLO|(412)782-0200 EXT. 402|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/13/2005|0|0|0|0|0|0
Philadelphia District 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 District Office| 136553|801-64650|DOMINION WEALTH MANAGEMENT, INC.|DOMINION WEALTH MANAGEMENT, INC.|1801 ROBERT FULTON DRIVE|SUITE 560|RESTON VA 20191|USA|||  ||JOAN CONFOY|703-476-5353|Corporation|Financial planning services, 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 District 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 District Office| 136742|801-64661|NFI, LLC|NFI, LLC|100 MCKNIGHT PARK DRIVE|SUITE 110|PITTSBURGH PA 15237|USA|||  ||DANIEL F. REA|412-635-0150|Limited 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
Philadelphia District Office| 136907|801-65481|MILLRACE ASSET GROUP, INC.|MILLRACE ASSET GROUP, INC.|1055 WESTLAKES DRIVE|SUITE 300|BERWYN PA 19312|USA|||  ||JOHN WARTMAN|610-727-3850|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/23/2006|0|0|0|0|0|0
Philadelphia District Office| 136949|801-66084|RAMSEY ASSET MANAGEMENT, LLC|RAMSEY ASSET MANAGEMENT, LLC|8200 GREENSBORO DRIVE|SUITE 1550|MCLEAN VA 22102|USA|||  ||DANIEL E. BENDER|703-269-1900|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/31/2006|0|0|0|0|0|0
Philadelphia District 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-120|10/26/2005|0|0|0|0|0|0
Philadelphia District 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 District 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 District 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 District Office| 137409|801-65022|WATERLOO INTERNATIONAL ADVISORS LLC|WATERLOO INTERNATIONAL ADVISORS LLC|802 TIMES BUILDING||ARDMORE PA 19003|USA|||  ||DAVID SCHROLL|610-645-7950|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/03/2006|0|0|0|0|0|0
Philadelphia District Office| 137456|801-65624|E.X. CAPITAL PARTNERS, LLC|E.X. CAPITAL PARTNERS, LLC|CIRA CENTRE, 2929 ARCH STREET|16TH FLOOR|PHILADELPHIA PA 19104-2868|USA|||  ||JOHN LUBERT|215-972-2416|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 District Office| 137484|801-64803|HERITAGE WEALTH ADVISORS|HERITAGE WEALTH ADVISORS, LLC|9 S. 12TH STREET|4TH FLOOR|RICHMOND VA 23219|USA|||  ||DEE ANN REMO|804-643-4080|Limited Liability Company|Financial planning services, 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|10/27/2005|0|0|0|0|0|0
Philadelphia District 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 District Office| 137604|801-64868|ROSELINE CAPITOL ADVISORS, LLC|ROSELINE CAPITOL ADVISORS, LLC|8904 NORWICK CIRCLE||RICHMOND VA 23229|USA|||  ||JAMES V. DUTY|804-782-4240|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED-120|11/14/2005|0|0|0|0|0|0
Philadelphia District Office| 137610|801-64820|SANDS CAPITAL MANAGEMENT, LLC|SANDS CAPITAL MANAGEMENT, LLC|1100 WILSON BLVD.|SUITE 3050|ARLINGTON VA 22209|USA|||  ||ROBERT C. HANCOCK|(703) 562-4000|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)|APPROVED|11/04/2005|0|0|0|0|0|0
Philadelphia District 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-120|11/08/2005|0|0|0|0|0|0
Philadelphia District Office| 137731|801-64849|PALADIN ASSET MANAGEMENT, LLC|PALADIN ASSET MANAGEMENT, LLC|14961 FINEGAN FARM DRIVE||DARNESTOWN MD 20874|USA|||  ||WILLIAM E. FLAIG, JR.|240-683-3752|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|10/26/2005|0|0|0|0|0|0
Philadelphia District 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-120|01/04/2006|0|0|0|0|0|0
Philadelphia District Office| 137886|801-64875|YOGI ADVISORS, LLC|YOGI ADVISORS, LLC|21 DUPONT CIRCLE N.W.|SUITE 500|WASHINGTON DC 20036|USA|||  ||JULIE STAPEL|2028286213|Limited Liability Company|Other|APPROVED|11/14/2005|0|0|0|0|0|0
Philadelphia District Office| 137917|801-65928|PERCHERON CAPITAL ADVISORS, L.L.C.|PERCHERON CAPITAL ADVISORS, L.L.C.|13317 DREW LANE||POTOMAC MD 20854|USA|2 WISCONSIN CIRCLE|SUITE 700|CHEVY CHASE MD 20815|USA|DEBRA MERITZ OLSEN|240-683-4971|Limited Liability Company|Other|APPROVED-120|01/31/2006|0|0|0|0|0|0
Philadelphia District Office| 137950|801-65708|DURATION CAPITAL|DURATION CAPITAL MANAGEMENT ADVISORS, INC.|401 CITY AVENUE|SUITE 902|BALA CYNWYD PA 19004|USA|||  ||MICHELLE THOMSON|610-667-5700|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/2006|0|0|0|0|0|0
Philadelphia District Office| 137978|801-65484|ROCK HILL INVESTMENT MANAGEMENT, L.P.|ROCK HILL INVESTMENT MANAGEMENT, L.P.|3 BALA PLAZA - EAST, SUITE 585||BALA CYNWYD PA 19004|USA|||  ||KEITH MARLOWE|610-949-9700|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/26/2006|0|0|0|0|0|0
Philadelphia District 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|0|0|0|0
Philadelphia District Office| 138047|801-65232|THREE RIVERS INVESTMENT MANAGEMENT, LLC|THREE RIVERS INVESTMENT MANAGEMENT, LLC|603 STANWIX STREET, SUITE 295|2 GATEWAY CENTER|PITTSBURGH PA 15222|USA|||  ||J. MARK VEENIS|412-391-7945|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/20/2006|0|1|0|0|0|0
Philadelphia District Office| 138164|801-65931|FORTIGENT, INC.|FORTIGENT, INC.|2600 TOWER OAKS BOULEVARD|SUITE 300|ROCKVILLE MD 20852|USA|||  ||DAVE ELLIOTT|301-770-6300|Corporation|Selection of other advisers, Other|APPROVED|01/24/2006|0|0|0|0|0|0
Philadelphia District 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|301-519-4255|Corporation|Publication of periodicals or newsletters, Other|APPROVED|11/10/2005|0|0|0|0|0|0
Philadelphia District Office| 138304|801-65913|SMITHTOWN CAPITAL, LLC|SMITHTOWN CAPITAL, LLC|77 MOUNT AIRY ROAD||PIPERSVILLE PA 18947|USA|||  ||ROBERT CAVALLARO|610-294-1014|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|01/31/2006|0|0|0|0|0|0
Philadelphia District 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 District 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 District Office| 138700|801-65889|CALLAHAN & ASSOCIATES, INC|CALLAHAN & ASSOCIATES, INC|1001 CONNECTICUT AVENUE|NW TENTH FLOOR|WASHINGTON DC 20036|USA|||  ||MELANIE EL-SABAAWI|202-223-3920|Corporation|Selection of other advisers|APPROVED-120|01/30/2006|0|0|0|0|0|0
Philadelphia District Office| 138706|801-65154|REDMOND ASSET MANAGEMENT, LLC|REDMOND ASSET MANAGEMENT, LLC|1101 PROFESSIONAL DRIVE||WILLIAMSBURG VA 23185|USA|P.O. BOX 6507||WILLIAMSBURG VA 23188|USA|R. SCOTT REDMOND|757-565-5414|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|12/21/2005|0|0|0|0|0|0
Philadelphia District 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 District Office| 138719|801-65302|ODYSSEUS CAPITAL MANAGEMENT, LTD|ODYSSEUS CAPITAL MANAGEMENT, LTD|995 OLD EAGLE SCHOOL ROAD|STE 320|WAYNE PA 19087|USA|||  ||LISA COLON|610-225-3000|Corporation|Other|APPROVED|01/13/2006|0|0|0|0|0|0
Philadelphia District 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|APPROVED-120|01/13/2006|0|0|0|0|0|0
Philadelphia District 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 District Office| 138812|801-65678|AJ STERGE, LP|AJ STERGE, LP|1055 WESTLAKES DRIVE|SUITE 300|BERWYN PA 19312|USA|||  ||KATHLEEN RODE|610-727-3832|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/01/2006|0|0|0|0|0|0
Philadelphia District Office| 138840|801-65722|DEFIANCE ASSET MANAGEMENT|DEFIANCE ASSET MANAGEMENT, LLC|100 FRONT ST SUITE 920||WEST CONSHOHOCKEN PA 19428|USA|||  ||MIMI DRAKE|610 940-5305|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|01/27/2006|0|0|0|0|0|0
Philadelphia District Office| 138854|801-65725|EJF CAPITAL LLC|EJF CAPITAL LLC|2107 WILSON BOULEVARD SUITE 410||ARLINGTON VA 22201|USA|||  ||NEAL WILSON|703-875-0591|Limited Liability Company|Other|APPROVED|01/27/2006|0|2|0|0|0|0
Philadelphia District Office| 138881|801-65214|TRAYNOR CAPITAL MANAGEMENT|TRAYNOR, KEITH THOMAS|33 MEADOW CREEK LN.||MALVERN PA 19355|USA|||  ||KEITH TRAYNOR|610 722 5502|Sole Proprietorship|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|01/12/2006|0|0|0|0|0|0
Philadelphia District Office| 138923|801-65346|OUTFITTER FINANCIAL CORP.|OUTFITTER FINANCIAL CORP.|1497 CHAIN BRIDGE ROAD|SUITE 200|MCLEAN VA 22101|USA|||  ||BENJAMIN PERESS|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 District 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 District Office| 138999|801-66349|EAGLE INVESTMENT ADVISORS|DAVID LYNN SUMMERS|426 CORNER KETCH RD||DOWNINGTOWN PA 19335-1229|USA|||  ||DAVID SUMMERS|610-283-0619|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|03/13/2006|0|0|0|0|0|0
Philadelphia District 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), Selection of other advisers|APPROVED-120|01/20/2006|0|0|0|0|0|0
Philadelphia District 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 District 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-120|03/08/2006|0|2|0|0|0|0
Philadelphia District Office| 139163|801-65934|BLUE ROCKEFELLER, LLC|BLUE ROCKEFELLER, LLC|203 SHORELINE DRIVE||BERWYN PA 19312|USA|||  ||CASSANDRA TOROIAN|610-578-0349|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|01/24/2006|0|0|0|0|0|0
Philadelphia District Office| 139231|801-66111|PARAGON WEALTH MANAGEMENT, LLC|PARAGON WEALTH MANAGEMENT, LLC|1201 S. BRADDOCK AVENUE||PITTSBURGH PA 15218|USA|||  ||ROBERT BARMEN|412-215-6280|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED-120|02/13/2006|0|1|0|0|0|0
Philadelphia District Office| 139347|801-66159|FOX, JOSS & YANKEE, LLC|FOX, JOSS & YANKEE, LLC|2010 CORPORATE RIDGE, SUITE 700||MCLEAN VA 22102|USA|||  ||MARJORIE L. FOX|(703) 749-0555|Limited Liability Company|Financial planning services, Portfolio management for 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|01/30/2006|0|0|0|0|0|0
Philadelphia District Office| 139350|801-66178|S & K INVESTMENT SERVICES, LLC|S & K INVESTMENT SERVICES, LLC|14016-D SULLYFIELD CIRCLE||CHANTILLY VA 20151|USA|||  ||PAUL KARSTETTER|703-818-8056|Limited 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
Philadelphia District Office| 139379|801-66114|KEEL POINT ADVISORS, LLC|KEEL POINT ADVISORS, LLC|1560 WILSON BLVD.|SUITE 1200|ARLINGTON VA 22209|USA|||  ||GEOFFREY MATTHEW THORNETT|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-120|01/26/2006|0|0|0|0|0|0
Philadelphia District Office| 139500|801-66283|LEHMAN FINANCIAL RESOURCES, INC.|LEHMAN FINANCIAL RESOURCES, INC.|17 REDTAIL COURT||WEST CHESTER PA 19382|USA|||  ||JEFFREY I. LEHMAN|610-453-8577|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-120|02/23/2006|0|0|0|0|0|0
Philadelphia District Office| 139656|801-66290|PHILADELPHIA PARTNERS CAPITAL MANAGEMENT LLC|PHILADELPHIA PARTNERS CAPITAL MANAGEMENT LLC|1143 PEBBLE SPRING DRIVE||BERWYN PA 19312|USA|||  ||MICHAEL A. GALANTINO|215-439-1494|Limited Liability Company|Financial planning services, 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|03/06/2006|0|0|0|0|0|0
San Francisco District 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 District Office|    199|801-45761|D.A. DAVIDSON & CO.|D.A. DAVIDSON & CO.|8 THIRD STREET NORTH||GREAT FALLS MT 59401|USA|||  ||ANDERS BERRY|406/727-4200|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, Publication of periodicals or newsletters|APPROVED|02/08/1994|0|10|6|0|0|0
San Francisco District Office|    329|801-60335|RUSSELL INVESTMENT GROUP|FRANK RUSSELL SECURITIES, INC.|909 A STREET||TACOMA WA 98402|USA|PO BOX 1616||TACOMA WA 98402-1616|USA|KRISTIN L. GAERTTNER|253-439-2477|Corporation|Other|APPROVED|06/13/2001|0|15|1|0|0|0
San Francisco District 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|2|0|0|0|0
San Francisco District Office|   1027|801-57293|FOOTHILL SECURITIES, INC.|FOOTHILL SECURITIES, INC.|1674 N. SHORELINE BLVD., SUITE 120||MOUNTAIN VIEW CA 94043|USA|||  ||CHRISTINE FLYNN|650 941-1962|Corporation|Financial planning services, Portfolio management 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 District Office|   1378|801-10902|GRIFFON MAY, INC.|GRIFFON MAY, INC.|696 MCVEY AVE||LAKE OSWEGO OR 97034|USA|||  ||RICHARD GRAVES|503-635-8844|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|07/28/1975|0|1|0|0|0|0
San Francisco District 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 District 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 District Office|   5393|801-29938|CHARLES SCHWAB & CO., INC.|CHARLES SCHWAB & CO., INC.|101 MONTGOMERY ST|SF120KNY-12-345|SAN FRANCISCO CA 94104|USA|||  ||BEVERLY NEILSON|415-636-3686|Corporation|Financial planning services, Selection of other advisers, Other|APPROVED|07/24/1987|1|15|0|0|0|0
San Francisco District 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 District Office|   6681|801-66192|FIRST WASHINGTON CORPORATION|FIRST WASHINGTON CORPORATION|601 UNION STREET SUITE 3701||SEATTLE WA 98101|USA|||  ||ANDREW HARRIS|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 District 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 District Office|  10489|801-66098|CALDWELL SECURITIES, INCORPORATED|CALDWELL SECURITIES, INCORPORATED|931 HARTZ WAY|SUITE 100|DANVILLE CA 94526-3400|USA|||  ||JOHN C. HELMER|(925) 838-5525|Corporation|Other|APPROVED|02/08/2006|0|0|0|0|0|0
San Francisco District 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|36|0|0|0|0
San Francisco District 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 District 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 District Office|  14377|801-41346|WEALTH ASSET MANAGERS|NELSON SECURITIES,INC.|601 W MAIN AVE.|STE 1118|SPOKANE WA 99201|USA|||  ||ROBERT O. NELSON|(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 District 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 District Office|  15883|801-22799|PARNASSUS INVESTMENTS|PARNASSUS INVESTMENTS|ONE MARKET|STEUART TOWER # 1600|SAN FRANCISCO CA 94105|USA|||  ||WILLIAM FRASER|415-778-0200|Corporation|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|11/20/1984|0|1|0|0|0|0
San Francisco District 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||ANTOINE KARIM CHAYA|415-402-0504|Limited Liability Company|Financial planning 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|0|0|0|0|0
San Francisco District 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|0|0|0|0|0
San Francisco District 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 District 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 District Office|  22509|801-56248|KELMOORE INVESTMENT CO INC|KELMOORE INVESTMENT COMPANY, INC.|2471 E BAYSHORE RD STE 501||PALO ALTO CA 94303|USA|||  ||NORMAN H. MOOORE, JR|650 354 3377|Corporation|Portfolio 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|7|0|0|0|0
San Francisco District 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|925-356-6780|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|08/29/2003|0|0|0|0|0|0
San Francisco District 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 District Office|  31012|801-63974|FINANCIAL TELESIS, INC.|JHW FINANCIAL SERVICES INC.|4340 REDWOOD HIGHWAY|#D318|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 District Office|  35800|801-63879|PHILLIPS & COMPANY SECURITIES INC.|PHILLIPS & COMPANY SECURITIES INC.|220 NW 2ND|SUITE 950|PORTLAND OR 97209|USA|||  ||JAMES SMITH|503.224.0858|Corporation|Selection of other advisers|APPROVED|02/18/2005|0|2|0|0|0|0
San Francisco District 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|206.676.6208|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/30/1999|0|0|0|0|0|0
San Francisco District Office|  37550|801-56576|RUSSELL INVESTMENT GROUP|FRANK RUSSELL CAPITAL INC.|909 A STREET||TACOMA WA 98402|USA|P.O. BOX 1616||TACOMA WA 98402-1616|USA|KRISTIN L. GAERTTNER|253-439-2477|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/08/1999|0|15|1|0|0|0
San Francisco District 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 District Office|  40395|801-51940|BRECEK & YOUNG ADVISORS, INC.|BRECEK & YOUNG ADVISORS, INC.|1110 IRON POINT RD STE 100||FOLSOM CA 95630|USA|||  ||THOMAS DELANEY|916-932-4100 X130|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/22/1996|1|7|0|0|0|0
San Francisco District 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, Selection of other advisers|APPROVED|06/05/1995|0|0|0|0|0|0
San Francisco District Office|  43285|801-57304|M HOLDINGS SECURITIES, INC.|M HOLDINGS SECURITIES, INC.|1125 N.W. COUCH STREET|SUITE 900|PORTLAND OR 97209|USA|||  ||FRANK DAY|503-414-7264|Corporation|Financial planning services, Portfolio management for 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 District Office|  44211|801-56694|BAYSIDE FINANCIAL|BAYSIDE FINANCIAL, LLC|1431 OAKLAND BLVD|#210|WALNUT CREEK CA 94596|USA|||  ||JEFF CLARK|925-906-1350|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)|APPROVED|07/21/1999|0|1|0|0|0|0
San Francisco District Office|  44274|801-63835|THINKEQUITY PARTNERS LLC|THINKEQUITY PARTNERS LLC|600 MONTGOMERY STREET|8TH FLOOR|SAN FRANCISCO CA 94111|USA|||  ||HARRIET BRITT|415-249-2900|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|01/14/2005|0|1|0|0|0|0
San Francisco District 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|0|1|0|0|0
San Francisco District Office|  45641|801-56237|GOLDEN TRIANGLE SECURITIES LLC|GOLDEN TRIANGLE SECURITIES LLC|3785 VIA NONA MARIE|SUITE 104 & 105|CARMEL CA 93923|USA|||  ||STEVE HOLBER|831-626-5572|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|01/29/1999|0|0|2|0|0|0
San Francisco District Office|  45899|801-55918|MCADAMS WRIGHT RAGEN CAPITAL MANAGEMENT|MCADAMS WRIGHT RAGEN, INC.|925 FOURTH AVENUE|SUITE #3900|SEATTLE WA 98104|USA|||  ||KATE MALONE|206-664-8850|Corporation|Financial planning 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|10/05/1998|0|0|0|0|0|0
San Francisco District Office|  46206|801-56684|LEADER CAPITAL CORP.|LEADER CAPITAL CORP.|121 SW MORRISON STREET|STE 425|PORTLAND OR 97204|USA|||  ||JOHN E LEKAS|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|0|0|0|0|0
San Francisco District Office|  46237|801-56577|THOMAS WEISEL PARTNERS LLC|THOMAS WEISEL PARTNERS LLC|ONE MONTGOMERY STREET|SUITE 3700|SAN FRANCISCO CA 94104|USA|||  ||JACK HELFAND|(415) 364-6900|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|13|1|0|0|0
San Francisco District Office| 104510|801-55196|FINANCIAL ENGINES ADVISORS LLC|FINANCIAL ENGINES ADVISORS LLC|1804 EMBARCADERO ROAD|SUITE 100|PALO ALTO CA 94303|USA|||  ||JOSEPH R. CONWAY|650-565-4979|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Security ratings or pricing services|APPROVED|01/14/1998|0|0|0|0|0|0
San Francisco District Office| 104517|801-26292|FRANKLIN ADVISERS, INC.|FRANKLIN ADVISERS, INC.|ONE FRANKLIN PARKWAY||SAN MATEO CA 94403-1906|USA|||  ||MONICA W. POON|(650) 312-4631|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/30/1986|0|5|0|0|0|0
San Francisco District 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 District Office| 104532|801-51559|SENECA CAPITAL MANAGEMENT LLC|SENECA CAPITAL MANAGEMENT LLC|909 MONTGOMERY STREET|FIFTH FLOOR|SAN FRANCISCO CA 94133|USA|||  ||SMITH, SCOTT RANDALL|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 District Office| 104535|801-42418|SIGMA INVESTMENT MANAGEMENT COMPANY|SIGMA INVESTMENT MANAGEMENT COMPANY|121 SW MORRISON ST.|SUITE 800|PORTLAND OR 97204|USA|||  ||BERG, WILLIAM ARTHUR|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 District 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 District Office| 104547|801-57420|OBERON FINANCIAL TECHNOLOGY, INC.|OBERON FINANCIAL TECHNOLOGY, INC.|477 EAST EVELYN, SUITE B||SUNNYVALE CA 94086|USA|||  ||APKER, MICHAEL GLEN|408/524-8000|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 District Office| 104554|801-28179|KASPICK & COMPANY, LLC|KASPICK & COMPANY, LLC|203 REDWOOD SHORES PARKWAY|SUITE 300|REDWOOD SHORES CA 94065-1175|USA|||  ||MESEC, COLLEEN SUSAN|650-585-4100|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|10/23/1986|0|0|0|0|0|0
San Francisco District 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 District Office| 104565|801-4855|WM ADVISORS INC|WM ADVISORS INC|1201 3RD AVE|22ND FLOOR|SEATTLE WA 98101|USA|||  ||ALEXANDER WILLIAMS GHAZANFARI|206-377-0473|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/22/1968|0|0|0|0|0|0
San Francisco District Office| 104573|801-46893|KEN ROBERTS INVESTMENT MANAGEMENT, INC.|KEN ROBERTS INVESTMENT MANAGEMENT, INC.|W 601 RIVERSIDE AVENUE|SUITE 1670|SPOKANE WA 99201|USA|||  ||ROBERTS, KENNETH MELVIN|(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 District 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 investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/19/1991|0|0|0|0|0|0
San Francisco District 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 District Office| 104601|801-29775|SUNGARD ADVISOR TECHNOLOGIES, INC.|SUNGARD ADVISOR TECHNOLOGIES, INC.|2399 GATEWAY OAKS DRIVE, SUITE 200||SACRAMENTO CA 95833|USA|||  ||JILL KATHLEEN EVANS|(916) 288-6406|Corporation|Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Other|APPROVED|07/02/1987|0|0|0|0|0|0
San Francisco District 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 investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/04/1967|0|0|0|0|0|0
San Francisco District 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 District Office| 104660|801-19003|NORTHWEST FINANCIAL OF OREGON|NORTHWEST FINANCIAL PLANNING CORP|4640 SW MACADAM AVE #280||PORTLAND OR 97239|USA|POST OFFICE BOX 69008||PORTLAND OR 97239|USA|RONALD G. ARENDS|503.222.9050|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|06/10/1983|0|0|0|0|0|0
San Francisco District Office| 104661|801-24109|CPIC INTERNATIONAL|CALIFORNIA PRIVATE INVESTMENT CORP.|388 MARKET ST SUITE 860||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 District Office| 104685|801-18475|PORTFOLIO STRATEGIES INC|PORTFOLIO STRATEGIES INC|1102 BROADWAY #302||TACOMA WA 98402|USA|||  ||SCHROETER, EMANUEL BERNARD|253-284-9565|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|03/15/1983|0|0|0|0|0|0
San Francisco District Office| 104688|801-35998|AKJ ASSET MANAGEMENT|RESNICK PAUL GERSON & BILODEAU KENNETH ROBERT|1180 HARKER AVENUE||PALO ALTO CA 94301|USA|||  ||BILODEAU, KENNETH R|650 326-9090|Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/01/1990|0|0|0|0|0|0
San Francisco District 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 District 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 District Office| 104698|801-35777|GW CAPITAL INC|GW CAPITAL INC|10900 NE 8TH STREET, SUITE 235||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 District 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 District 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 District 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 District 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 District 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 District Office| 104835|801-34772|MARATHON FINANCIAL ADVISORS|JOHNSON LYNDA ANN|153 17TH ST.||PACIFIC GROVE CA 93950|USA|P.O. BOX 20517||SAN JOSE CA 95160|U.S.|LYNDA, ANN JOHNSON|831-644-0402|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 District 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 District 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 District Office| 104931|801-20248|EVERGREEN CAPITAL MANAGEMENT LLC|EVERGREEN CAPITAL MANAGEMENT LLC|500 108TH AVE. N.E.|SUITE 720|BELLEVUE WA 98004|USA|||  ||MORRIS, LARRY P|425-467=4600|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 District Office| 104935|801-11279|GUARDIAN INVESTMENT MANAGEMENT|GUARDIAN INVESTMENT MANAGEMENT|425 CALIFORNIA STREET, 17TH FLR.||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 District Office| 104973|801-21122|WELLS CAPITAL MANAGEMENT INC|WELLS CAPITAL MANAGEMENT INCORPORATED|525 MARKET ST|10TH FLOOR|SAN FRANCISCO CA 94105|USA|||  ||SHIVER, MAI|(415) 222-9099|Corporation|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 District 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, Selection of other advisers, Other|APPROVED|10/03/1983|0|0|1|0|0|0
San Francisco District 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 District Office| 105046|801-16670|ICM ASSET MANAGEMENT INC|ICM ASSET MANAGEMENT INC|601 WEST MAIN AVENUE, SUITE 600||SPOKANE WA 99201-0613|USA|||  ||HAHNERT, DIANE E.|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 District Office| 105052|801-33162|PLANNED SOLUTIONS, INC.|PLANNED SOLUTIONS FINANCIAL & INSURANCE SERVICES, INC.|9833 HORN RD. STE E||SACRAMENTO CA 95827-1974|USA|||  ||SMITH, ROGER T.|916-361-0100|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|11/25/1988|0|0|0|0|0|0
San Francisco District Office| 105063|801-20933|FORD & ASSOCIATES|FORD THOMAS FRANCIS|2685 MARINE WAY||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 District Office| 105086|801-13209|ARISTON CAPITAL MANAGEMENT CORP|ARISTON CAPITAL MANAGEMENT CORP|40 LAKE BELLEVUE DRIVE|SUITE 220|BELLEVUE WA 98005|USA|||  ||BEATTIGER, MARY KATHLEEN|425-454-1600|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/28/1977|0|0|0|0|0|0
San Francisco District 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|Pension consulting services, Other|APPROVED|01/12/1981|0|0|0|0|0|0
San Francisco District 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 District 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 District 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 District 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 District 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 District Office| 105203|801-18151|THE PACIFIC FINANCIAL GROUP, INC.|PACIFIC FINANCIAL GROUP INC|10900 NE 8TH STREET|SUITE 1523|BELLEVUE WA 98004|USA|||  ||LOCKWOOD, LUELLEN HUBBARD|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 District Office| 105247|801-22609|BARCLAYS GLOBAL FUND ADVISORS|BARCLAYS GLOBAL FUND ADVISORS|BARCLAYS GLOBAL INVESTORS|45 FREMONT STREET|SAN FRANCISCO CA 94105|USA|||  ||TOWERS, LOIS|415-597-2636|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|11/15/1984|0|1|0|0|0|0
San Francisco District 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 District Office| 105281|801-32726|JENSEN INVESTMENT MANAGEMENT INC.|JENSEN INVESTMENT MANAGEMENT INC|2130 PACWEST CENTER|1211 S.W. 5TH AVENUE|PORTLAND OR 97204-3721|USA|||  ||FERRIE, BRIAN S.|503-274-2044|Corporation|Portfolio 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 District Office| 105283|801-48432|ALAN D BILLER & ASSOCIATES, INC.|ALAN D BILLER & ASSOCIATES, INC.|535 MIDDLEFIELD RD.|SUITE 230|MENLO PARK CA 94025|USA|||  ||DROZDOWSKI, SUSAN|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 District Office| 105292|801-25400|DITZLER & COMPANY|DITZLER HUGH WICKHAM JR|6114 LASALLE AVENUE SUITE 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 District 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 District Office| 105339|801-20608|GARTMORE MORLEY CAPITAL MANAGEMENT, INC.|GARTMORE MORLEY CAPITAL MANAGEMENT, INC.|5665 SW MEADOWS RD., STE 400||LAKE OSWEGO OR 97035|USA|||  ||MCAFEE, KAREN L.|503-603-2248|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 District 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 District Office| 105362|801-9737|ASHFIELD & CO INC|ASHFIELD & CO INC|750 BATTERY STREET, SUITE 600||SAN FRANCISCO CA 94111|USA|||  ||BAER, SUSAN S|415 391-4747|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/20/1974|0|1|0|0|0|0
San Francisco District Office| 105364|801-34450|CERTIFIED PLANNERS INC|CERTIFIED PLANNERS INC|2680 BISHOP DRIVE, SUITE 206||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 District 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 District 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 District 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 District 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 District Office| 105437|801-19247|JOHN W. BROOKER & CO., CPAS,PC|BROOKER JOHN W & CO CPA 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 District 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  M.|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|3|0|0|0|0
San Francisco District 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 District Office| 105508|801-18799|SCHARF INVESTMENTS|SCHARF JEFFREY ROBERT|1010 WALNUT AVENUE||SANTA CRUZ CA 95060|USA|641 ESCALONA DRIVE||SANTA CRUZ CA 95060|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 District Office| 105531|801-10227|SETON SMOKE CAPTAL MANAGEMENT|SETON SMOKE CAPITAL MANAGEMENT|100 DRAKE'S LANDING ROAD|SUITE 260|GREENBRAE CA 94904-3121|USA|||  ||GLASSER, JANET L.|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 District Office| 105538|801-11975|DOOLITTLE & GANOS INVESTMENT COUNSEL, LLC|DOOLITTLE & GANOS INVESTMENT COUNSEL, LLC|26335 CARMEL RANCHO BLVD.|SUITE 2|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 District Office| 105556|801-35638|RAINIER INVESTMENT MANAGEMENT,INC.|RAINIER INVESTMENT MANAGEMENT, INC.|601 UNION ST STE 2801||SEATTLE WA 98101-2327|USA|||  ||THENELL. LISA|206-464-0400|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|12/07/1989|0|0|0|0|0|0
San Francisco District 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 District 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|||  ||LISA MILLER|925-948-2000|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/08/1989|0|0|0|0|0|0
San Francisco District 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 District 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 District 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 District Office| 105621|801-15279|TUKMAN CAPITAL MANAGEMENT, INC.|TUKMAN 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 District Office| 105628|801-29727|TECHNOLOGY FUNDING LTD|TECHNOLOGY FUNDING LTD|1107 INVESTMENT BOULEVARD|STE 180|EL DORADO HILLS CA 95762|USA|||  ||GIAMBRUNO, DEBORAH JO|916-941-1400|Partnership|Portfolio management for investment companies|APPROVED|05/11/1987|0|1|0|0|0|0
San Francisco District Office| 105630|801-25385|HEADLANDS GROUP INC|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 District Office| 105634|801-15225|PETERSON INVESTMENT MANAGEMENT INC|PETERSON INVESTMENT MANAGEMENT INC|315 PAULSEN CENTER|421 W RIVERSIDE AVE|SPOKANE WA 99201-0438|USA|||  ||WELLINGTON, GWENDOLYN R|509-838-4438|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|05/16/1980|0|0|0|0|0|0
San Francisco District Office| 105671|801-22733|D.B. FITZPATRICK & CO.|D.B. FITZPATRICK & CO., INC.|225 N 9TH STREET|SUITE 810|BOISE ID 83702-5778|USA|||  ||FITZPATRICK, DENNIS B|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 District Office| 105698|801-36720|GENOVESE FORMAN & BURFORD ASSET MANAGEMENT|GENOVESE FORMAN & BURFORD FINANCIAL & INSURAN|1515 RESPONSE ROAD||SACRAMENTO CA 95815|USA|||  ||DEFANT, PHYLLIS A|916-924-7527|Corporation|Financial planning services, 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 District 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 District Office| 105703|801-30656|CLBI INVESTMENTS INC|CLBI INVESTMENTS INC|100 PRINGLE AVE, STE 320||WALNUT CREEK CA 94596-3580|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 District Office| 105705|801-31899|V.H. KING ASSOCIATES|KING VIRGINIA HIMMELSTEIB|2014 LOS ANGELES AVE||BERKELEY CA 94707|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 District Office| 105717|801-29500|MERRIMAN CAPITAL MANAGEMENT INC|MERRIMAN CAPITAL MANAGEMENT INC|1200 WESTLAKE AVE N SUITE 700||SEATTLE WA 98109|USA|||  ||SPRATT, DAVID|206-285-8877|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, Market timing services|APPROVED|05/01/1987|0|0|0|0|0|0
San Francisco District 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 District Office| 105734|801-17141|RUSSELL INVESTMENT GROUP|FRANK 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, Selection of other advisers|APPROVED|05/21/1982|0|15|1|0|0|0
San Francisco District 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|MONICA H. BUTLER|253-439-2417|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|06/01/1982|0|15|2|0|0|0
San Francisco District 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|REA, JAMES T.|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 District Office| 105754|801-29888|RS INVESTMENT MANAGEMENT INC|RS INVESTMENT MANAGEMENT INC|388 MARKET STREET, SUITE 1700||SAN FRANCISCO CA 94111-5311|USA|||  ||BENJAMIN L. DOUGLAS|(415) 591-2729|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/27/1987|0|3|1|0|0|0
San Francisco District Office| 105764|801-19785|MELLON CAPITAL MANAGEMENT CORPORATION|MELLON CAPITAL MANAGEMENT CORPORATION|595 MARKET STREET|SUITE 3000|SAN FRANCISCO CA 94105|USA|||  ||PARCELLA, GABRIELA FRANCO|415-267-1227|Corporation|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 District 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 District Office| 105802|801-30489|ATLAS ADVISERS INC|ATLAS ADVISERS INC|794 DAVIS STREET||SAN LEANDRO CA 94577-6900|USA|||  ||W. LAWRENCE KEY|(510) 297-7432|Corporation|Portfolio management for investment companies|APPROVED|09/24/1987|0|0|0|0|0|0
San Francisco District Office| 105805|801-27298|HUSIC CAPITAL MANAGEMENT|HUSIC CAPITAL MANAGEMENT|555 CALIFORNIA STREET, STE 1800||SAN FRANCISCO CA 94104|USA|||  ||LESLEY JONES|(415)398-0800|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|06/26/1986|0|0|0|0|0|0
San Francisco District Office| 105824|801-35059|INFORMED INVESTORS GROUP|KOENIG STEVEN MARK|4701 37TH NE||SEATTLE WA 98105|USA|4701 37TH NE||SEATTLE WA 98105|USA|KOENIG, STEVEN|206-689-5670|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|08/11/1989|0|0|0|0|0|0
San Francisco District 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)|APPROVED|04/10/1987|0|0|0|0|0|0
San Francisco District 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, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/26/1998|0|0|0|0|0|0
San Francisco District Office| 105864|801-30972|SCHILL S R & ASSOCIATES INC|SCHILL S R & ASSOCIATES INC|2448 - 76TH AVE SE|SUITE 222|MERCER ISLAND WA 98040|USA|||  ||SCHILL STANLEY R|206-275-2700|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|APPROVED|11/02/1987|0|3|0|0|0|0
San Francisco District Office| 105888|801-36794|EMPYRION WEALTH MANAGEMENT, INC.|EMPYRION WEALTH MANAGEMENT, INC.|3300 DOUGLAS BLVD STE 420||ROSEVILLE CA 95661|USA|||  ||ALTOBELL, MICHAEL|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 District Office| 105932|801-49149|CUSTOM FUND MANAGEMENT, LLC|CUSTOM FUND MANAGEMENT, LLC|260 CALIFORNIA STREET, SUITE 610||SAN FRANCISCO CA 94111|USA|||  ||DIANA YAKUPZACK|415 399-1818|Limited Liability Company|Selection of other advisers|APPROVED|06/07/1995|0|0|0|0|0|0
San Francisco District Office| 105939|801-33939|IMS CAPITAL MANAGEMENT|IMS CAPITAL MANAGEMENT|8995 S.E. OTTY ROAD||PORTLAND OR 97266|USA|||  ||STEELE, SUSAN|503-788-4200|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, Publication of periodicals or newsletters|APPROVED|03/23/1989|0|0|0|0|0|0
San Francisco District Office| 106010|801-42200|FINANCIAL CLARITY, INC.|FINANCIAL CLARITY, INC.|2570 WEST EL CAMINO REAL|SUITE 320|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 District Office| 106017|801-41892|WEIL CAPITAL MANAGEMENT LLC|WEIL CAPITAL MANAGEMENT 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 District 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 District Office| 106028|801-46328|STOCKLIN CAPITAL MANAGEMENT|STOCKLIN WILLIAM JAMES|2180 SAND HILL ROAD|SUITE 350|MENLO PARK CA 94025|USA|||  ||STOCKLIN, WILLIAM JAMES|650-926-0790|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|06/03/1994|0|0|0|0|0|0
San Francisco District 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 District 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 District 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 District Office| 106054|801-52871|MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC|MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC|FOUR EMBARCADERO CENTER|SUITE 550|SAN FRANCISCO CA 94111|USA|||  ||MANOJ K. POMBRA|415-955-8122|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 District Office| 106056|801-38455|VALUE MONITORING, INC|VALUE MONITORING, INC|250 OAK GROVE AVE|SUITE A|MENLO PARK CA 94025-2251|USA|||  ||SALLY ANN TALARICO|650-327-7705|Corporation|Financial planning 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|03/18/1991|0|0|0|0|0|0
San Francisco District 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|0|0|0|0|0
San Francisco District Office| 106082|801-36844|YESKE & CO INC|YESKE & CO INC|220 MONTGOMERY ST., STE 994||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 District 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 District 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 District Office| 106111|801-38220|PORTFOLIO ADVISORS|PORTFOLIO ADVISORS|2650 W. SHAW LANE #103||FRESNO CA 93711|USA|||  ||WILLIAMSON, DAVID LEE|559-435-6112|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|02/01/1991|0|0|0|0|0|0
San Francisco District 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 District 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 District Office| 106158|801-48519|HUTCHINSON CAPITAL MANAGEMENT|HUTCHINSON CAPITAL MANAGEMENT|700 LARKSPUR LANDING CIRCLE|SUITE 126|LARKSPUR CA 94939|USA|||  ||HASKINS, ANGELA|415-464-5650|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|02/17/1995|0|0|0|0|0|0
San Francisco District Office| 106168|801-52314|COTTON FINANCIAL ADVISORS,INC.|COTTON FINANCIAL ADVISORS,INC.|19009 33RD AVENUE W, SUITE 310||LYNNWOOD WA 98036|USA|||  ||DARRON L. KUEHN|425-672-6050|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/11/1996|0|0|0|0|0|0
San Francisco District Office| 106173|801-38751|MCKINLEY CAPITAL MANAGEMENT INC|MCKINLEY CAPITAL MANAGEMENT INC|3301 C STREET, STE 500||ANCHORAGE AK 99503|USA|||  ||DIANE WILKE|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 District 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 District 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|APPROVED|04/18/1991|0|0|0|0|0|0
San Francisco District Office| 106210|801-45275|BIRD CAPITAL MANAGEMENT|BIRD SCOTT SHARP|8 EL PULGAR||ORINDA CA 94563|USA|P.O. BOX 688||ORINDA CA 94563|USA|BIRD, SCOTT SHARP|925-258-1680|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|12/01/1993|0|0|0|0|0|0
San Francisco District Office| 106226|801-47995|BLUM CAPITAL PARTNERS LP|BLUM CAPITAL PARTNERS LP|909 MONTGOMERY STREET|SUITE 400|SAN FRANCISCO CA 94133|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 District 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 District 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), Other|APPROVED|12/31/1991|0|0|0|0|0|0
San Francisco District Office| 106257|801-44325|SAN FRANCISCO SENTRY INVESTMENT GROUP|SAN FRANCISCO SENTRY INVESTMENT GROUP|100 PINE STREET|SUITE 2700|SAN FRANCISCO CA 94111|USA|||  ||ROOT, LEE ARTHUR|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 District Office| 106319|801-36301|PENGRA CAPITAL MANAGEMENT INC|PENGRA CAPITAL MANAGEMENT INC|601 UNION ST|STE 5530|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 District 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 District 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|APPROVED|01/19/1993|0|0|0|0|0|0
San Francisco District 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 District Office| 106382|801-14549|CSI CAPITAL MANAGEMENT INC|CSI CAPITAL MANAGEMENT INC|600 CALIFORNIA STREET|18TH FLOOR|SAN FRANCISCO CA 94108|USA|||  ||KYLE HILL|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 District Office| 106383|801-43274|RUNDE & CO. LLC|RUNDE & CO. LLC|1001 FOURTH AVENUE PLAZA, SUITE 3200||SEATTLE WA 98154|USA|||  ||RUNDE, ELIZABETH A|206-343-8977|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|02/04/1993|0|0|0|0|0|0
San Francisco District 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 District 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|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/02/1976|0|0|0|0|0|0
San Francisco District 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 District Office| 106439|801-38122|BANNER INVESTMENT CONSULTANTS|FORETICH ROBERT MCCLELAND|3123 FAIRVIEW AVE. E, FIRST FL||SEATTLE WA 98102|USA|P O BOX 65199||SEATTLE WA 98155|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 District Office| 106441|801-52806|BONUCCELLI DAVID L & ASSOCIATES INC|BONUCCELLI DAVID L & ASSOCIATES INC|788 UNIVERSITY AVE||SACRAMENTO CA 95825|USA|||  ||POWELL, WENDY GAY|916-567-6666|Corporation|Other|APPROVED|07/31/1996|0|0|0|0|0|0
San Francisco District Office| 106446|801-47270|RUSSELL INVESTMENT GROUP|RUSSELL REAL ESTATE ADVISORS INC|909 A STREET||TACOMA WA 98402|USA|P.O. BOX 1616||TACOMA WA 98402-1616|USA|KARL H. SMITH|253-439-4290|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|08/22/1994|0|15|1|0|0|0
San Francisco District 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 District 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|APPROVED|08/27/1991|0|0|0|0|0|0
San Francisco District 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 District 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 District 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 District 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|APPROVED|03/11/1992|0|0|0|0|0|0
San Francisco District Office| 106624|801-17459|PACIFIC MANAGEMENT LTD|PACIFIC MANAGEMENT LTD|222 KEARNY ST, SUITE 410||SAN FRANCISCO CA 94108|USA|||  ||GREGORY W BROWNE|415-362-6120|Partnership|Other|APPROVED|08/06/1982|0|0|0|0|0|0
San Francisco District Office| 106636|801-44125|RS INVESTMENT MANAGEMENT LP|RS INVESTMENT MANAGEMENT LP|388 MARKET STREET, SUITE 1700||SAN FRANCISCO CA 94111-5311|USA|||  ||BENJAMIN L. DOUGLAS|(415) 591-2729|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|06/14/1993|0|3|1|0|0|0
San Francisco District 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|||  ||SCHUTT, DAVID WALTER|503.232.6960|Corporation|Portfolio management for investment companies|APPROVED|11/24/1995|0|0|0|0|0|0
San Francisco District Office| 106660|801-41023|GUARDIAN CAPITAL INC|GUARDIAN CAPITAL INC|1902 120TH PLACE SE|SUITE 102|EVERETT WA 98208|USA|||  ||BLAKE SCOTT|425-379-5050|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|03/25/1992|0|0|0|0|0|0
San Francisco District Office| 106669|801-42165|DEL MONTE GROUP|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|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|08/25/1992|0|0|0|0|0|0
San Francisco District 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 District Office| 106683|801-49077|QUELLOS CAPITAL MANAGEMENT LP|QUELLOS CAPITAL MANAGEMENT LP|601 UNION STREET|56TH FLOOR|SEATTLE WA 98101|USA|||  ||MARIE M. BENDER|(206) 613-6753|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|06/12/1995|0|0|0|0|0|0
San Francisco District Office| 106690|801-48674|LPIMC INSURANCE MARKETING SERVICES|LONDON PACIFIC INSURANCE MARKETING CO|2880 GATEWAY OAKS DRIVE|SUITE 150|SACREMENTO CA 95833|USA|||  ||NICHOLSON, GEORGE CARL|919-981-2722|Corporation|Portfolio management for investment companies|APPROVED|03/16/1995|0|0|0|0|0|0
San Francisco District Office| 106694|801-51677|ZENITH CAPITAL, LLC.|ZENITH CAPITAL, LLC.|181 CONCOURSE BLVD.|SUITE B|SANTA ROSA CA 95403|USA|||  ||TASKER, RICK LANE|(707) 522-6270|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/01/1996|0|0|0|0|0|0
San Francisco District 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 District Office| 106753|801-35905|CHARLES SCHWAB INVESTMENT MANAGEMENT, INC|CHARLES SCHWAB INVESTMENT MANAGEMENT, INC|101 MONTGOMERY ST|MAIL STOP-SF-120KNY-14-311|SAN FRANCISCO CA 94104-4104|USA|||  ||FILLMORE, RANDY|415-636-3680|Corporation|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 District Office| 106759|801-49751|OFFIT HALL CAPITAL MANAGEMENT LLC|OFFIT HALL CAPITAL MANAGEMENT LLC|ONE MARITIME PLAZA|SUITE 500|SAN FRANCISCO CA 94111|USA|||  ||POWERS, WILLIAM J.|415-277-2639|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/28/1995|0|0|0|0|0|0
San Francisco District Office| 106761|801-40665|SACKETT & COMPANY|SACKETT PAUL EDMUNDS JR|60 E SIR FRANCIS DRAKE BLVD|STE 306|LARKSPUR CA 94939|USA|P.O. BOX 276||CORTE MADERA CA 94976|USA|SACKETT, PAUL EDMUNDS|415-461-4277|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|02/18/1992|0|0|0|0|0|0
San Francisco District Office| 106763|801-52791|QUANTUM CAPITAL MANAGEMENT CO|QUANTUM CAPITAL MANAGEMENT CO|770 TAMALPAIS DRIVE|SUITE 204|CORTE MADERA CA 94925|USA|||  ||BRADLEY, STEPHEN A|415-927-8430|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/30/1996|0|0|0|0|0|0
San Francisco District Office| 106785|801-45724|STACK FINANCIAL MANAGEMENT INC|STACK FINANCIAL MANAGEMENT INC|2472 BIRCH GLEN, SUITE A||WHITEFISH MT 59937|USA|||  ||STACK,JAMES BRYAN|406-862-8000|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|02/15/1994|0|0|0|0|0|0
San Francisco District Office| 106789|801-43351|KESTREL INVESTMENT MANAGEMENT CORP|KESTREL INVESTMENT MANAGEMENT CORP|411 BOREL AVENUE STE 403||SAN MATEO CA 94402|USA|||  ||STEIRMAN, DAVID J.|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 District 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 District Office| 106812|801-52176|SUMMIT CAPITAL MANAGEMENT LLC|SUMMIT CAPITAL MANAGEMENT LLC|601 UNION STREET|SUITE 3900|SEATTLE WA 98101|USA|||  ||RUDOLF, MATTHEW CARL|206-447-6200|Limited Liability Company|Portfolio management for individuals and/or small businesses, Other|APPROVED|06/11/1996|0|0|0|0|0|0
San Francisco District 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 District Office| 106850|801-42931|PACIFIC PORTFOLIO CONSULTING LP|PACIFIC PORTFOLIO CONSULTING LP|TWO UNION SQUARE|601 UNION STREET, SUITE 4343|SEATTLE WA 98101|USA|||  ||RITCHIE HOOD|206-623-6641|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|12/23/1992|0|0|0|0|0|0
San Francisco District 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 District 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 District Office| 106985|801-49080|STANDARD PACIFIC CAPITAL LLC|STANDARD PACIFIC CAPITAL LLC|101 CALIFORNIA STREET, 36TH FL||SAN FRANCISCO CA 94111|USA|||  ||NESHIE TIWARI|415-439-7416|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/28/1995|0|1|0|0|0|0
San Francisco District Office| 106988|801-48938|AURUM CAPITAL MANAGEMENT CORP|AURUM CAPITAL MANAGEMENT CORP|84 W. SANTA CLARA STREET, SUITE 690||SAN JOSE CA 95113|USA|||  ||WILLIAM H. CARSON|408-938-6580|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/13/1995|0|0|16|0|0|0
San Francisco District 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 District Office| 107031|801-38935|PAUL CAPITAL PARTNERS|PAUL PARTNERS LP|50 CALIFORNIA STREET STE 3000||SAN FRANCISCO CA 94111|USA|||  ||CHENETTE, LEO P.|646-264-1147|Partnership|Other|APPROVED|05/30/1991|0|0|0|0|0|0
San Francisco District Office| 107033|801-43915|FULLER & THALER ASSET MANAGEMENT INC|FULLER & THALER ASSET MANAGEMENT INC|411 BOREL AVENUE, SUITE 402||SAN MATEO CA 94402|USA|||  ||FAWZY, MARTIN M.|(650)572-8334|Corporation|Portfolio 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 District Office| 107049|801-9747|LATEEF MANAGEMENT ASSOCIATES|LATEEF MANAGEMENT ASSOCIATES|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 businesses or institutional clients (other than investment companies)|APPROVED|02/16/1974|0|1|0|0|0|0
San Francisco District Office| 107079|801-45350|CTC CONSULTING, INC.|CTC CONSULTING, INC.|4380 SW MACADAM AVE|STE 490|PORTLAND OR 97239|USA|||  ||STEFANIE A. FIRTELL|212-852-1032|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|12/07/1993|0|2|0|0|0|0
San Francisco District Office| 107087|801-50128|PAUL CAPITAL PARTNERS|PAUL CAPITAL MANAGEMENT LLC|50 CALIFORNIA STREET #3000||SAN FRANCISCO CA 94111|USA|||  ||CHENETTE, LEO P.|646-264-1147|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 District Office| 107088|801-47813|PAUL CAPITAL PARTNERS|PHILIP S PAUL & ASSOCIATES LP|50 CALIFORNIA STREET,SUITE 3000||SAN FRANCISCO CA 94111|USA|||  ||CHENETTE, LEO P|646-264-1147|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 District 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 District 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 District 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 District 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 District Office| 107180|801-34623|STRATEGIC WEALTH MANAGEMENT INC|STRATEGIC WEALTH MANAGEMENT INC|7900 SE 28TH STREET, FIFTH FLOOR||MERCER ISLAND WA 98040|USA|||  ||SIZEMORE, NANCY T|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 District Office| 107205|801-50676|VAN WAGONER CAPITAL MANAGEMENT INC|VAN WAGONER CAPITAL MANAGEMENT INC|3 EMBARCADERO CTR., SUITE 1120||SAN FRANICISCO CA 94111|USA|||  ||MINOR,WILLIAM XAVIER|415 835-5008|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/28/1995|0|1|0|0|0|0
San Francisco District 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 District Office| 107214|801-46131|WENTWORTH, HAUSER AND VIOLICH, INC.|WENTWORTH, HAUSER AND VIOLICH, INC.|353 SACRAMENTO STREET, SUITE 600||SAN FRANCISCO CA 94111-3604|USA|||  ||HALL, BRADFORD|415 981 6911|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/29/1994|0|0|0|0|0|0
San Francisco District Office| 107216|801-39912|WHELAN & GRATNY CAPITAL MANAGEMENT INC|WHELAN & GRATNY CAPITAL MANAGEMENT INC|611 SANTA CRUZ AVE|SUITE 203|MENLO PARK CA 94025|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 District Office| 107227|801-40071|WHELAN FINANCIAL|WHELAN VINCENT JOSEPH|1284 WEST SHAW AVENUE,SUITE 101||FRESNO CA 93711|USA|||  ||VINCENT J. WHELAN|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 District Office| 107232|801-26980|LEYLEGIAN INVESTMENT MANAGEMENT, INC|LEYLEGIAN INVESTMENT MANAGEMENT, INC|601 GATEWAY BOULEVARD|SUITE 700|SOUTH SAN FRANCISCO CA 94080-7007|USA|||  ||LEYLEGIAN, GEORGE A.|650-615-9500|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/01/1986|0|0|0|0|0|0
San Francisco District 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 District 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 District Office| 107322|801-51763|FARALLON CAPITAL MANAGEMENT, L.L.C.|FARALLON CAPITAL MANAGEMENT, L.L.C.|ONE MARITIME PLAZA|SUITE 1325|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)|APPROVED|04/01/1996|0|0|0|0|0|0
San Francisco District Office| 107326|801-57272|BEDELL INVESTMENT COUNSELLING LLC|BEDELL INVESTMENT COUNSELLING LLC|200 PRINGLE AVE STE 450||WALNUT CREEK CA 94596|USA|||  ||LAURA MORGENSTERN|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 District 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 District 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 District 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 District Office| 107382|801-48599|ADELANTE CAPITAL MANAGEMENT LLC|ADELANTE CAPITAL MANAGEMENT LLC|555 12TH STREET|SUITE 2100|OAKLAND CA 94607|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 District Office| 107419|801-17842|STEVENSON CAPITAL MANAGEMENT, INC.|STEVENSON WALTER ROLAND|19925 STEVENS CREEK BLVD||CUPERTINO CA 95014|USA|||  ||LEE A. SCUNDI|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 District Office| 107438|801-46570|SOUND INVESTMENT MANAGEMENT INC|SOUND INVESTMENT MANAGEMENT INC|140 SW, ARTHUR STREET, STE 210||PORTLAND OR 97201|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 District Office| 107442|801-45196|GARLAND INVESTMENT MANAGEMENT INC.|GARLAND BRUCE DOUGLAS|1600 SCHOOL STREET, SUITE 105||MORAGA CA 94556|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 District Office| 107452|801-38610|FINANCIAL ASSET MANAGEMENT LTD|FINANCIAL ASSET MANAGEMENT LTD|2003 WESTERN AVE  STE 660||SEATTLE WA 98121|USA|||  ||MR. TAREK MCALEE|206-441-6644|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/03/1991|0|0|0|0|0|0
San Francisco District 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|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|07/09/1990|0|0|0|0|0|0
San Francisco District 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|APPROVED|06/16/1995|0|0|0|0|0|0
San Francisco District 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 District 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 District 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|||  ||BILL 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 District 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)|APPROVED|01/04/1994|0|0|0|0|0|0
San Francisco District 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 District 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 District Office| 107611|801-50916|LITMAN/GREGORY ASSET MANAGEMENT, LLC|LITMAN/GREGORY ASSET MANAGEMENT, LLC|100 LARKSPUR LANDING CIRCLE|SUITE 204|LARKSPUR CA 94939|USA|||  ||CRAIG LITMAN|415/461-8999|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|12/29/1995|0|0|0|0|0|0
San Francisco District Office| 107632|801-56205|BUSH POLEN & ASSOCIATES INC|BUSH POLEN & ASSOCIATES INC|7282 STINSON AVE NW STE A|P.O. BOX 1326|GIG HARBOR WA 98335|USA|P.O. BOX 1326||GIG HARBOR WA 98335|USA|D. SCOTT BUSH|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)|APPROVED|01/26/1999|0|0|0|0|0|0
San Francisco District 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 District 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 District Office| 107680|801-33673|PRIME ADVISORS INC|PRIME ADVISORS INC|2450 CARILLON POINT||KIRKLAND WA 98033-7353|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 District Office| 107687|801-9219|CALLAN ASSOCIATES INC.|CALLAN ASSOCIATES INC.|101 CALIFORNIA STREET|SUITE 3500|SAN FRANCISCO CA 94111|USA|||  ||SUSAN L. TAYLOR-HAMBLY|415-974-5060|Corporation|Pension consulting services, Other|APPROVED|04/16/1973|0|0|0|0|0|0
San Francisco District Office| 107711|801-23561|REYNOLDS CAPITAL MANAGEMENT|REYNOLDS FREDERICK LEO|80 E. SIR FRANCIS DRAKE BLVD|WOOD ISLAND- THIRD FLOOR|LARKSPUR CA 94939|USA|||  ||DONALD JESBERG|415-461-7860|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
San Francisco District Office| 107725|801-63863|INVESTOR'S CAPITAL MANAGEMENT|CHAMBERS, RICHARD CRAFTON|240 MENLO OAKS DRIVE||MENLO PARK CA 94025|USA|||  ||RICH CHAMBERS|650-323-4706|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|02/04/2005|0|0|0|0|0|0
San Francisco District 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 District Office| 107777|801-32066|PROGRESSIVE INVESTMENT MANAGEMENT|PROGRESSIVE INVESTMENT MANAGEMENT CORP|721 NW 9TH AVE., SUITE 250||PORTLAND OR 97209|USA|||  ||JUNE MILLER|503-224-7828-EXT 12|Corporation|Portfolio 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 District Office| 107784|801-56071|NORTHSIDE CAPITAL MANAGEMENT LLC|NORTHSIDE CAPITAL MANAGEMENT LLC|208 1/2 SECOND STREET||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 District 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 District 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 District 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 District 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 District 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)|APPROVED|05/03/1984|0|0|0|0|0|0
San Francisco District 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 District Office| 107867|801-57026|TAM ASSET MANAGEMENT INC|TAM ASSET MANAGEMENT INC|1100 MAR WEST STREET|SUITE D|TIBURON CA 94920|USA|||  ||JEFFREY C. TROUTNER|415-435-5045|Corporation|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
San Francisco District 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|APPROVED|06/27/1991|0|0|0|0|0|0
San Francisco District 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 District 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 District Office| 107897|801-44274|DOMINION PARTNERS III CLP|DOMINION PARTNERS III CLP|1656 N CALIFORNIA BLVD, SUITE 300||WALNUT CREEK CA 94596|USA|||  ||KENDALL J. COOPER|925-280-6300|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/09/1993|0|0|0|0|0|0
San Francisco District 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 District 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|0|0|0|0|0
San Francisco District 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 District Office| 107914|801-55396|PALADIN INVESTMENT LLC|PALADIN INVESTMENT LLC|13215 SE 49TH STREET||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 District Office| 107918|801-54886|PEAK INVESTMENT MANAGEMENT|PEAK INVESTMENT MANAGEMENT, LTD.|111 NORTH HIGGINS|STE 200|MISSOULA MT 59802|USA|||  ||JESSICA EISSINGER|406-721-7325|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 District Office| 107920|801-56570|INSTITUTIONAL PROPERTY CONSULTANTS LLC|INSTITUTIONAL PROPERTY CONSULTANTS LLC|CENTRAL OFFICE BUILDING|15 OREGON AVENUE, SUITE 307|TACOMA WA 98409|USA|||  ||LAURA HUNTINGTON|253-858-5889|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|06/25/1999|0|0|0|0|0|0
San Francisco District Office| 107924|801-54748|MCGAHAN GREENE MCHUGH CAPITAL MANAGEMENT, LLC|MCGAHAN GREENE MCHUGH CAPITAL MANAGEMENT LLC|120 MONTGOMERY ST|SUITE 2125|SAN FRANCISCO CA 94104|USA|||  ||SHANNON GREENE|(415) 782-0694|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/31/1997|0|0|0|0|0|0
San Francisco District 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 District 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 District 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, Other|APPROVED|07/01/1998|0|0|0|0|0|0
San Francisco District Office| 107985|801-55480|JAMES H. DENNING|DENNING JAMES HARLAN|10236 N GIBSON RD||HAYDEN LAKE ID 83835-0567|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 District 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 District Office| 108011|801-57078|INCOME ADVISORS|RA BENCH INC.|1301 5TH AVE, SUITE 3330||SEATTLE WA 98101|USA|||  ||DARYL KIM MILLER|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), Selection of other advisers|APPROVED|12/30/1999|0|0|0|0|0|0
San Francisco District Office| 108027|801-55619|DECAMILLA CAPITAL MANAGEMENT INC|DECAMILLA CAPITAL MANAGEMENT INC|3600 AMERICAN RIVE 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 District Office| 108052|801-57727|CAPITAL PERFORMANCE ADVISORS, INC.|CAPITAL PERFORMANCE ADVISORS, INC.|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|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/10/2000|0|0|0|0|0|0
San Francisco District Office| 108063|801-56472|PILLAR POINT EQUITY MANAGEMENT LLC|PILLAR POINT EQUITY 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 District Office| 108065|801-56909|RS GROWTH GROUP LLC|RS GROWTH GROUP LLC|388 MARKET STREET, SUITE 1700||SAN FRANCISCO CA 94111-5311|USA|||  ||BENJAMIN L. DOUGLAS|(415) 591-2729|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|10/21/1999|0|2|1|0|0|0
San Francisco District 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 District Office| 108089|801-57631|EAGLE HARBOR ASSET MANAGEMENT, INC.|EAGLE HARBOR ASSET MANAGEMENT INC|999 THIRD AVENUE|SUITE 3800|SEATTLE WA 98104|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 District Office| 108091|801-56420|NORTHWEST CAPITAL MANAGEMENT INC|NORTHWEST CAPITAL MANAGEMENT INC|10300 SW GREENBURG RD|SUITE 487|PORTLAND OR 97223|USA|||  ||FRED PAYNE|503-244-0440|Corporation|Financial planning services, Portfolio management for 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 District Office| 108100|801-56319|OSBORNE PARTNERS|OSBORNE PARTNERS CAPITAL MANAGEMENT LLC|580 CALIFORNIA ST|STE 1900|SAN FRANCISCO CA 94104|USA|||  ||SHANNON LEMON|(415) 362-5637|Limited 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 District Office| 108102|801-55385|FAIRVIEW CAPITAL INVESTMENT MANAGEMENT, LLC|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 District 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, Other|APPROVED|09/27/1999|0|0|0|0|0|0
San Francisco District Office| 108130|801-55071|YOUNKER PHIL A & ASSOCIATES LTD|YOUNKER PHIL A & ASSOCIATES LTD|121 SPRUCE ST||FAIRBANKS AK 99709-4150|USA|||  ||PHIL A. YOUNKER, JR.|907-452-6393|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/01/1997|0|0|0|0|0|0
San Francisco District Office| 108134|801-56846|STAFFORD CAPITAL MANAGEMENT LLC|STAFFORD CAPITAL MANAGEMENT LLC|222 KEARNY STREET, SUITE 410||SAN FRANCISCO CA 94108|USA|||  ||GREGORY W. BROWNE|415-362-6120|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/23/1999|0|0|0|0|0|0
San Francisco District 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 District Office| 108146|801-56358|MARCIA JOSLYN SILL, INC.|MARCIA JOSLYN SILL, INC.|1325 FOURTH AVE.|SUITE 1428|SEATTLE WA 98101|USA|||  ||MARCIA JOSLYN SILL|(206) 622-1210|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|03/22/1999|0|0|0|0|0|0
San Francisco District 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 District 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, Publication of periodicals or newsletters|APPROVED|04/13/1999|0|0|0|0|0|0
San Francisco District Office| 108164|801-56703|QUELLOS CUSTOM STRATEGIES LLC|QUELLOS CUSTOM STRATEGIES LLC|601 UNION STREET|56TH FLOOR|SEATTLE WA 98101|USA|||  ||MARIE M. BENDER|(206) 613-6753|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/23/1999|0|0|0|0|0|0
San Francisco District Office| 108182|801-55438|GARLAND CAPITAL MANAGEMENT INC|GARLAND CAPITAL MANAGEMENT INC|500 108TH AVENUE NE, SUITE 800||BELLEVUE WA 98004|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 District Office| 108190|801-13556|RAYNER & HAYNOR|RAYNER & HAYNOR|655 REDWOOD HWY, SUITE 370||MILL VALLEY CA 94941|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 District Office| 108223|801-35653|BEACON ROCK MANAGEMENT, LLC|BEACON ROCK MANAGEMENT, LLC|121 SW MORRISON ST. STE 450||PORTLAND OR 97204|USA|||  ||CHERYL RUTH ATHERLY|503-227-6800|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|12/22/1989|0|0|0|0|0|0
San Francisco District Office| 108265|801-57561|PARADIGM PARTNERS N.W. INC|PARADIGM PARTNERS N.W. INC|820 "A" STREET, STE 700||TACOMA WA 98402|USA|||  ||REX MERCHANT|253-573-0657|Corporation|Other|APPROVED|05/03/2000|0|0|0|0|0|0
San Francisco District Office| 108275|801-60164|PETTIGREW FINANCIAL CORPORATION|PETTIGREW FINANCIAL CORPORATION|560 KEVINGTON COURT||SACRAMENTO CA 95864|USA|P.O. BOX 601777||SACRAMENTO CA 95860|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 District 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 District 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 District 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 District Office| 108359|801-47325|NORTHWEST INVESTMENT CONSULTING, INC.|NORTHWEST INVESTMENT CONSULTING, INC.|4700 42ND AVE SW|STE 520|SEATTLE WA 98116|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 District Office| 108383|801-56417|BELL INVESTMENT ADVISORS INC|BELL INVESTMENT ADVISORS INC|1111 BROADWAY, SUITE 2130||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 businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Security ratings or pricing services, Market timing services|APPROVED|04/12/1999|0|1|0|0|0|0
San Francisco District Office| 108392|801-9075|BADGLEY, PHELPS AND BELL, INC.|BADGLEY, PHELPS AND BELL, INC.|1420 FIFTH AVENUE|SUITE 3200|SEATTLE WA 98101|USA|||  ||LISA P. GUZMAN|206-623-6172|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|02/01/1973|0|0|0|0|0|0
San Francisco District 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 individuals and/or small businesses, 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 District 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 District Office| 108428|801-56908|RS VALUE GROUP LLC|RS VALUE GROUP LLC|388 MARKET STREET, SUITE 1700||SAN FRANCISCO CA 94111-5311|USA|||  ||BENJAMIN L. DOUGLAS|(415) 591-2700|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|10/21/1999|0|2|1|0|0|0
San Francisco District Office| 108444|801-57398|NET EQUITY ASSOCIATES|NET EQUITY INSURANCE & INVESTMENTS, INC.|111 ANZA BLVD., SUITE 330||BURLINGAME CA 94010|USA|||  ||ROBERT BAILEY SETSER|650-696-1650|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|03/27/2000|0|0|0|0|0|0
San Francisco District 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 District Office| 108494|801-55709|BARDIN FINANCIAL SERVICES|BARDIN FINANCIAL SERVICES INC|711 COURT STREET||JACKSON CA 95642|USA|||  ||CRAIG VANHULZEN|209-223-1225|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/30/1998|0|0|0|0|0|0
San Francisco District Office| 108518|801-54641|SNYDER CAPITAL MANAGEMENT LP|SNYDER CAPITAL MANAGEMENT LP|ONE MARKET PLAZA, STEUART TOWER, SUITE 1200||SAN FRANCISCO CA 94105|USA|||  ||STEVEN J. BLOCK|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|1|0|0|0|0
San Francisco District Office| 108524|801-57173|ADVICEAMERICA, INC.|ADVICEAMERICA, INC.|34770 CAMPUS DRIVE||FREMONT CA 94555|USA|||  ||PURNA PAREEK|(510) 742-4218|Corporation|Financial planning services|APPROVED|01/20/2000|0|0|0|0|0|0
San Francisco District Office| 108531|801-55261|PRESIDIO WEALTH MANAGEMENT LLC|PRESIDIO WEALTH MANAGEMENT LLC|101 CALIFORNIA STREET 12TH FLOOR||SAN FRANCISCO CA 94111|USA|||  ||JEFFREY ZLOT|415-733-0000|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|03/19/1998|0|0|0|0|0|0
San Francisco District 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 District Office| 108542|801-56391|SKBA CAPITAL MANAGEMENT, LLC|SKBA CAPITAL MANAGEMENT, LLC|44 MONTGOMERY ST., SUITE 3500||SAN FRANCISCO CA 94104|USA|||  ||CLARE COVIELLO|415-989-7852|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/02/1999|0|0|0|0|0|0
San Francisco District 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 District Office| 108595|801-55830|CHARLES RAVEN CAPITAL MANAGEMENT CO|CHARLES RAVEN CAPITAL MANAGEMENT CO|650 CALIFORNIA STREET 23RD FLOOR||SAN FRANCISCO CA 94108|USA|||  ||CHARLES H. RAVEN|415-397-2570|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 District Office| 108601|801-57087|BRIGHTON JONES LLC|BRIGHTON JONES LLC|506 2ND AVE|27TH FLOOR|SEATTLE WA 98104|USA|||  ||CLAUDINA CAMPBELL|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 District 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 District Office| 108665|801-56674|MONEY MANAGEMENT GROUP, INC.|MONEY MANAGEMENT GROUP, INC.|2033 N. MAIN STREET, SUITE 350||WALNUT CREEK CA 94596|USA|||  ||LESLIE WEAVER|925-944-7827|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/10/1999|0|0|0|0|0|0
San Francisco District Office| 108685|801-56723|SIERRA ASSET MANAGEMENT|SAM ADVISORS, LLC|37170 EAGLE VIEW LANE||COARSEGOLD CA 93614|USA|PO BOX 2389||OAKHURST CA 93644|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 District 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 District Office| 108696|801-56739|THOMAS WEISEL CAPITAL MANAGEMENT LLC|THOMAS WEISEL CAPITAL MANAGEMENT LLC|ONE MONTGOMERY STREET|SUITE 3700|SAN FRANCISCO CA 94104|USA|||  ||JACK HELFAND|(415) 364-2917|Limited Liability Company|Other|APPROVED|06/10/1999|0|0|0|0|0|0
San Francisco District Office| 108702|801-56256|FREESTONE CAPITAL MANAGEMENT INC|FREESTONE CAPITAL MANAGEMENT INC|1191 SECOND AVENUE|SUITE 2100|SEATTLE WA 98101|USA|||  ||JANICE GREENE|206 398-1100|Corporation|Financial planning 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|02/04/1999|0|0|0|0|0|0
San Francisco District 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 98055|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|7|3|0|0|0
San Francisco District Office| 108769|801-57957|WEALTH ADVISORS, LLC|WEALTH ADVISORS, LLC|5665 SW MEADOWS RD|SUITE 200|LAKE OSWEGO OR 97035|USA|||  ||K. SCOTT BARCHUS|503-620-5329|Limited Liability Company|Financial planning services, Portfolio management for 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|0|0|0|0
San Francisco District 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 District Office| 108797|801-21624|FINANCIAL INSIGHTS INC|FINANCIAL INSIGHTS INC|3110 RUSTON WAY, SUITE C||TACOMA WA 98402|USA|||  ||DOROTHY A. LEWIS|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 District 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 District Office| 108805|801-39379|COLDSTREAM CAPITAL MANAGEMENT INC|COLDSTREAM CAPITAL MANAGEMENT INC|ONE - 100TH AVENUE NE|SUITE 102|BELLEVUE WA 98004|USA|||  ||ROGER C. REYNOLDS|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 District 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|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 District Office| 108815|801-52507|PRIVATE ASSET MANAGEMENT INC|PRIVATE ASSET MANAGEMENT INC|411 108TH AVENUE NORTHEAST|SUITE 520|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 District Office| 108834|801-57629|WRAPMANAGER INC|WRAPMANAGER INC|703 MARKET ST|7TH 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 District Office| 108851|801-57231|ABDALLAH FINANCIAL SERVICES|ABDALLAH NANCY NADINE|131 SO. SECOND AVENUE||OAKDALE CA 95361|USA|||  ||NANCY N. ABDALLAH|209-848-9333|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|02/09/2000|0|0|0|0|0|0
San Francisco District 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|PETER F. PALMEDO|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 District 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 District 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 District Office| 108906|801-57202|FINANCIAL CONNECTIONS|FINANCIAL CONNECTIONS GROUP, INC.|2608 NINTH STREET|SUITE 302|BERKELEY CA 94710|USA|||  ||JILL HOLLANDER|510-849-4667|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/31/2000|0|0|0|0|0|0
San Francisco District 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 District Office| 108914|801-58112|VICKERMAN & DRISCOLL FINANCIAL ADVISORS,INC.|VICKERMAN & DRISCOLL FINANCIAL ADVISORS,INC.|108 N. WASHINGTON, SUITE 200||SPOKANE WA 99201|USA|||  ||MIKE J. VICKERMAN, JR.|509-325-7610|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|11/09/2000|0|0|0|0|0|0
San Francisco District Office| 108917|801-58074|DBA FINANCIAL SECURITY GROUP|FINANCIAL SECURITY GROUP, L.L.C.|1001 FOURTH AVENUE STE 2800||SEATTLE WA 98154|USA|||  ||GIDGET FURNESS|206-332-8840|Limited Liability Company|Financial planning services, 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 District Office| 108952|801-55288|CREEDON, KELLER & PARTNERS, INC.|CREEDON, KELLER & PARTNERS, INC.|123 SECOND STREET|SUITE 120|SAUSALITO CA 94965|USA|||  ||ERIC SEVERANCE|(415) 332-0111|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/11/1999|0|0|0|0|0|0
San Francisco District 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 District Office| 108962|801-56536|CASCADE INVESTMENT COUNSEL LLC|CASCADE INVESTMENT COUNSEL LLC|827 ALDER CREEK DRIVE|SUITE B|MEDFORD OR 97504|USA|||  ||GEOFFREY W. CUTLER|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 District 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 District Office| 108983|801-57809|HURLEY FINANCIAL GROUP|DORANN ALDERIN HURLEY,DBA,HURLEY FINANCIAL GROUP|226 SW 7TH STREET||CORVALLIS OR 97333|USA|||  ||DORANN A. HURLEY|(541) 757-2331|Sole Proprietorship|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 District Office| 108985|801-55896|CAPITAL ADVANTAGE, INC.|CAPITAL ADVANTAGE, INC.|3708 MT. DIABLO BLVD.,|SUITE 210|LAFAYETTE CA 94549|USA|P. O. BOX 789||LAFAYETTE CA 94549|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 District Office| 109018|801-56323|ASSETMARK INVESTMENT SERVICES|ASSETMARK INVESTMENT SERVICES INC|2300 CONTRA COSTA BLVD, SUITE 425||PLEASANT HILL CA 94523-3967|USA|||  ||RONALD D. CORDES|925-521-1040|Corporation|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 District 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 District 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 District 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 individuals and/or small businesses, 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 District 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 District 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|APPROVED|08/22/2000|0|0|0|0|0|0
San Francisco District 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 District 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 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 District Office| 109171|801-58166|PALO ALTO INVESTORS, LLC|PALO ALTO INVESTORS, LLC|470 UNIVERSITY AVENUE||PALO ALTO CA 94301|USA|||  ||JENNIFER TRAILER|650-325-0772|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/05/2000|0|1|0|0|0|0
San Francisco District 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 District 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 investment companies, Selection of other advisers, Other|APPROVED|08/14/1998|0|0|0|0|0|0
San Francisco District 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 District 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 District Office| 109209|801-55526|HOOVER INVESTMENT MANAGEMENT CO., LLC|HOOVER INVESTMENT MANAGEMENT CO., LLC|650 CALIFORNIA ST. 30TH FL.||SAN FRANCISCO CA 94108|USA|||  ||BEVERLY HOFFMANN|415-229-8705|Limited Liability Company|Portfolio 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 District Office| 109218|801-54733|CHINOOK CAPITAL MANAGEMENT LLC|CHINOOK CAPITAL MANAGEMENT LLC|4380 SW MACADAM AVE.|STE 250|PORTLAND OR 97239|USA|||  ||MELISSA MCDERMOTT|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 District Office| 109222|801-58128|CARDINAL POINT INVESTMENTS, LLC|CARDINAL POINT INVESTMENTS, LLC|8215 SW TUALATIN-SHERWOOD ROAD, SUITE 200||TUALATIN OR 97062|USA|||  ||CONNIE KRISTENSEN|503 274-2850|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/01/2000|1|0|0|0|0|0
San Francisco District Office| 109227|801-56359|BRISTLECONE ADVISORS LLC|BRISTLECONE ADVISORS LLC|1000 2ND AVENUE, SUITE 3700||SEATTLE WA 98104|USA|||  ||ROMAN BRENT|206 664-2492|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 District 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 District Office| 109235|801-55172|STEWART & PATTEN CO LLC|STEWART & PATTEN CO LLC|120 MONTGOMERY STREET, SUITE 1700||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 District 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), Selection of other advisers|APPROVED|05/01/1999|0|0|0|0|0|0
San Francisco District 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 District Office| 109274|801-58131|MACKE ASSET MANAGEMENT, LLC|MACKE ASSET MANAGEMENT, LLC|2001 UNION ST|SUITE 320|SAN FRANCISCO CA 94123|USA|||  ||JEFFREY J. MACKE|415-775-2825|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|11/21/2000|0|0|0|0|0|0
San Francisco District Office| 109280|801-58179|SUMMIT FINANCIAL ADVISORS, LLC|SUMMIT FINANCIAL ADVISORS, LLC|160 BOVET ROAD|SUITE 205|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, Selection of other advisers|APPROVED|12/01/2000|0|0|0|0|0|0
San Francisco District Office| 109286|801-57214|VALENTINE CAPITAL RETIREMENT PLANNING GROUP, INC.|VALENTINE CAPITAL RETIREMENT PLANNING GROUP, 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|02/28/2000|0|2|3|0|0|0
San Francisco District Office| 109287|801-56532|SKYE INVESTMENT ADVISORS LLC|SKYE INVESTMENT ADVISORS LLC|2441 PARK BLVD||PALO ALTO CA 94306|USA|||  ||PAUL MCENTIRE|650-328-1180|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies|APPROVED|05/14/1999|0|0|0|0|0|0
San Francisco District Office| 109299|801-56482|BRIDGEWAY FINANCIAL ADVISORS, LLC.|BRIDGEWAY FINANCIAL ADVISORS, LLC.|3 HARBOR DRIVE, STE 106||SAUSALITO CA 94965|USA|||  ||JAMES LUNSFORD|415-289-1024|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/10/1999|0|0|0|0|0|0
San Francisco District 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 District Office| 109330|801-56679|IRONWOOD CAPITAL MANAGEMENT CORP|IRONWOOD CAPITAL MANAGEMENT CORP|201 SPEAR ST|SUITE 1600|SAN FRANCISCO CA 94105|USA|||  ||JONATHAN GANS|415-777-2400|Corporation|Other|APPROVED|07/13/1999|0|0|0|0|0|0
San Francisco District Office| 109345|801-57053|MFG ADVISORS|MACKEN FINANCIAL GROUP INC|1512 EUREKA ROAD|SUITE 200|ROSEVILLE CA 95661|USA|||  ||PAIGE HUNTLEY|916-773-3545|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|12/13/1999|0|0|0|0|0|0
San Francisco District 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 District Office| 109373|801-56273|EASTBOURNE CAPITAL MANAGEMENT, L.L.C.|EASTBOURNE CAPITAL MANAGEMENT, L.L.C.|1101 FIFTH AVE|SUITE 160|SAN RAFAEL CA 94901|USA|||  ||ERIC SIPPEL|415-448-1200|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/12/1999|1|0|0|0|0|0
San Francisco District Office| 109394|801-56120|SAWTOOTH INVESTMENT MANAGEMENT LLC|SAWTOOTH INVESTMENT MANAGEMENT LLC|250 SOUTH 5TH ST.|SUITE 150|BOISE ID 83702|USA|||  ||MIKE BOREN|208-343-2222|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 District 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|MARILYN R. BERGEN, 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 District Office| 109407|801-56867|PRESCIENT CAPITAL LLC|PRESCIENT CAPITAL LLC|535 PACIFIC AVENUE, #400||SAN FRANCISCO CA 94133|USA|||  ||ERIC R. MATHEWSON|(415) 675-6750|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|09/29/1999|0|0|0|0|0|0
San Francisco District Office| 109418|801-57786|FAN ASSET MANAGEMENT LLC|FAN ASSET MANAGEMENT LLC|201 SAN ANTONIO CIRCLE|SUITE 265|MOUNTAIN VIEW CA 94040|USA|||  ||STEPHEN C 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 District 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 investment companies|APPROVED|06/19/2000|0|1|0|0|0|0
San Francisco District Office| 109475|801-56341|RAMSEY & ASSOCIATES INC|RAMSEY & ASSOCIATES INC|1730 N. NORTHLAKE WAY|SUITE 3301|SEATTLE WA 98103|USA|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 District 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 District 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 District Office| 109519|801-57596|SEQUOIA PLANNING & INVESTMENTS LLC|SEQUOIA PLANNING & INVESTMENTS LLC|201 NORTH CIVIC DR., SUITE 180||WALNUT CREEK CA 94596|USA|||  ||PAUL E. MURK|(925) 941-1380|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/17/2000|0|0|0|0|0|0
San Francisco District Office| 109532|801-56450|HIGHLAND CAPITAL MANAGEMENT LLC|HIGHLAND CAPITAL MANAGEMENT LLC|2606 - 116TH AVENUE N.E.|SUITE 210|BELLEVUE WA 98004|USA|||  ||JOHN CHRISTIANSON|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 District 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 District 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 District 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), Pension consulting services, Selection of other advisers, Other|APPROVED|08/07/1998|0|5|0|0|0|0
San Francisco District 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 District 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 District 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 District 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 District 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), Pension consulting services, Selection of other advisers|APPROVED|04/14/2000|0|0|0|0|0|0
San Francisco District Office| 109620|801-56711|GOLDSTEIN MUNGER + ASSOCIATES|GOLDSTEIN MUNGER + ASSOCIATES|18 CROW CANYON COURT|SUITE 250|SAN RAMON CA 94583|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 District 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 District Office| 109629|801-55395|KCM INVESTMENT ADVISORS|KCM INVESTMENT ADVISORS, LLC|300 DRAKE'S LANDING ROAD|SUITE 190|GREENBRAE CA 94904|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 District Office| 109640|801-56308|RCM|RCM CAPITAL MANAGEMENT LLC|4 EMBARCADERO CTR||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 District Office| 109645|801-57074|RAISIN CAPITAL MANAGEMENT LLC|RAISIN CAPITAL MANAGEMENT LLC|ONE SANSOME STREET|CITICORP CENTER|SAN FRANCISCO CA 94104|USA|115 SOUTH JEFFERSON ROAD|ATTN: DOROTHY STANIEC|WHIPPANY NJ 07981|U.S.A.|DOROTHY STANIEC|973-793-2255|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/20/1999|0|7|1|0|0|0
San Francisco District 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 District Office| 109709|801-36232|HORSLEY BRIDGE PARTNERS, INC.|HORSLEY BRIDGE PARTNERS, INC.|505 MONTGOMERY ST. 21ST FLOOR||SAN FRANCISCO CA 94111-2553|USA|||  ||DUANE PHILLIPS|(415) 986-7733 EXT. 208|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/20/1990|0|0|0|0|0|0
San Francisco District 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 District 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 District Office| 109795|801-57772|R. BRIAN HOWELL & ASSOCIATES, INC.|R. BRIAN HOWELL & ASSOCIATES, INC.|6 TACOMA AVENUE NORTH||TACOMA WA 98403|USA|||  ||ERIKA GUILLOT|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 District Office| 109814|801-16785|WORLD MONEY MANAGERS|WORLD MONEY MANAGERS|625 SECOND STREET|SUITE 102|PETALUMA CA 94952|USA|||  ||ROBERT B. MARTIN, JR.|626-793-8500|Other (specify)|Portfolio management for investment companies|APPROVED|02/05/1982|0|1|0|0|0|0
San Francisco District 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|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/31/1994|0|1|0|0|0|0
San Francisco District Office| 109874|801-60289|ZOLA CAPITAL MANAGEMENT, LLC|ZOLA CAPITAL MANAGEMENT, LLC|535 PACIFIC AVE|2ND FLOOR|SAN FRANCISCO CA 94133|USA|||  ||MARK ZOLA|415-486-219O|Limited Liability Company|Other|APPROVED|05/18/2001|0|0|0|0|0|0
San Francisco District 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 District Office| 109915|801-50645|WESPAC ADVISORS|WESPAC ADVISORS|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|0|0|0|0|0
San Francisco District 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 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 District Office| 109948|801-56860|CROSSLINK CAPITAL, INC.|CROSSLINK CAPITAL, INC.|TWO EMBARCADERO CENTER, SUITE 2200||SAN FRANCISCO CA 94111|USA|||  ||GERRI GROSSMANN|(415)617-1888|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/25/2000|0|0|0|0|0|0
San Francisco District Office| 109972|801-57782|WIPFLI HEWINS INVESTMENT ADVISORS LLC|WIPFLI HEWINS INVESTMENT ADVISORS LLC|950 TOWER LANE|STE 1100|FOSTER CITY CA 94404|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 District Office| 109977|801-40448|KOCHIS FITZ|KOCHIS FITZ TRACY FITZHUGH & GOTT, INC.|60 SPEAR STREET, SUITE 1100||SAN FRANCISCO CA 94105|USA|||  ||MICHAEL KOSSMAN|415.394.6670|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/24/1991|0|0|0|0|0|0
San Francisco District Office| 109983|801-56865|HEWINS FINANCIAL ADVISORS, LLC|HEWINS FINANCIAL ADVISORS, LLC|950 TOWER LANE|STE 1100|FOSTER CITY CA 94404|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 District 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 District 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)|APPROVED|06/19/1987|0|0|0|0|0|0
San Francisco District Office| 110036|801-61990|CENTURION ALLIANCE,INC.|CENTURION ALLIANCE,INC.|3775 VIA NONA MARIE, SUITE 200||CARMEL CA 93923|USA|P. O. BOX 222000||CARMEL CA 93922||STEPHEN A. MACE|831-622-7575|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/03/2002|0|0|0|0|0|0
San Francisco District Office| 110046|801-56742|LIGHT GREEN ADVISORS LLC|LIGHT GREEN ADVISORS LLC|2940 WESTLAKE AVENUE NORTH|SUITE 300|SEATTLE WA 98109|USA|||  ||JONATHAN NAIMON|206-547-8645|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/01/1999|0|0|0|0|0|0
San Francisco District 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 District Office| 110064|801-34048|OSTROFE FINANCIAL CONSULTANTS INC|OSTROFE FINANCIAL CONSULTANTS INC|10565 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 District Office| 110075|801-42152|MARK CAPITAL MANAGEMENT INC|MARK CAPITAL MANAGEMENT INC|567 W SHAW AVE|SUITE A-4|FRESNO CA 93704|USA|||  ||PAQUERETTE MARKARIAN|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 District 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 District 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|14|0|0|0|0
San Francisco District Office| 110100|801-55955|SAN FRANCISCO SENTRY RELATIVE VALUE ADVISORS LLC|SAN FRANCISCO SENTRY RELATIVE VALUE ADVISORS LLC|100 PINE STREET|SUITE 2700|SAN FRANCISCO CA 94111|USA|||  ||ROOT, LEE ARTHUR|415-229-9012|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|10/20/1998|0|1|1|0|0|0
San Francisco District 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 District Office| 110102|801-31712|SLOY DAHL & HOLST INC|SLOY DAHL & HOLST INC|TWO CENTERPOINTE DRIVE|SUITE #575|LAKES OSWEGO OR 97035-8618|USA|||  ||JAMES HOLST|503-620-8400|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 District 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 District Office| 110152|801-55273|CALIFORNIA FINANCIAL ADVISORS|MALOON, POWERS, PITRE & HIGGINS, LLC|2303 CAMINO RAMON, SUITE 250||SAN RAMON CA 94583|USA|||  ||STEPHANIE RICKER|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 District 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 District 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, Market timing services|APPROVED|05/24/1999|0|0|0|0|0|0
San Francisco District 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 District Office| 110224|801-57927|STORIE ADVISORS, L.L.C.|STORIE ADVISORS, L.L.C.|100 PINE STREET|SUITE 2700|SAN FRANCISCO CA 94111|USA|||  ||LEE ROOT|415-229-9012|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|08/29/2000|0|1|1|0|0|0
San Francisco District Office| 110228|801-57811|STANCORP INVESTMENT ADVISERS, INC.|STANCORP INVESTMENT ADVISERS, INC.|19225 NW TANASBOURNE DRIVE|#3RD FLOOR|HILLSBORO OR 97124|USA|||  ||JULIE GRANDSTAFF|(503)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 District Office| 110235|801-60080|RUDNEY ASSOCIATES, INC.|RUDNEY, ERIC ALLAN 1A|111 DEERWOOD ROAD, SUITE 130||SAN RAMON CA 94583|USA|||  ||ASHLEY BOYD|925-838-0696|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Portfolio management for individuals and/or small businesses|APPROVED|03/08/2001|0|1|0|0|0|0
San Francisco District 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|APPROVED|03/23/2001|0|0|0|0|0|0
San Francisco District 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|9|0|0|0|0
San Francisco District Office| 110264|801-56868|HARRIS MYCFO INVESTMENT ADVISORY SERVICES LLC|HARRIS MYCFO INVESTMENT ADVISORY SERVICES LLC|1700 SEAPORT BLVD|4TH FLOOR|REDWOOD CITY CA 94063|USA|||  ||ROMILLA S. ERB|650-210-5418|Limited Liability Company|Financial planning services, 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 District Office| 110279|801-49137|FORTRESS WEALTH MANAGEMENT INC|FORTRESS WEALTH MANAGEMENT INC|3180 CROW CANYON PLACE|SUITE 210|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 District 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 District 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 District Office| 110316|801-29765|TECHNOLOGY FUNDING INC|TECHNOLOGY FUNDING INC|1107 INVESTMENT BOULEVARD|SUITE 180|EL DORADO HILLS CA 95762|USA|||  ||JULIE ANNE OVERTON|800-821-5323|Corporation|Portfolio management for investment companies|APPROVED|05/11/1987|0|1|0|0|0|0
San Francisco District 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 District Office| 110334|801-49235|HS INVESTMENTS|HS & CO INVESTMENTS INC|2825 COLBY AVE|STE 200|EVERETT WA 98201|USA|P.O. BOX 1188||EVERETT WA 98206-1188|USA|MARK VAN WYNGARDEN|425-252-3173|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|05/19/1995|0|0|0|0|0|0
San Francisco District 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 District 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 District 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 District 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 District Office| 110365|801-53077|YCMNET ADVISORS|YCMNET ADVISORS|2001 NORTH MAIN STREET|SUITE 270|WALNUT CREEK CA 94596|USA|||  ||MICHAEL ALLEN YOSHIKAMI|(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 District Office| 110415|801-55644|H & Q VENTURE MANAGEMENT, L.L.C.|H&Q VENTURE MANAGEMENT LLC|560 MISSION STREET||SAN FRANCISCO CA 94105|USA|||  ||STEVEN N. MACHTINGER|(415)315-7800|Limited Liability Company|Other|APPROVED|07/10/1998|0|0|1|0|0|0
San Francisco District 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 XT 20|Corporation|Portfolio management for investment companies|APPROVED|12/22/1993|0|0|0|0|0|0
San Francisco District Office| 110431|801-34629|FINANCIAL RESOURCES INC|FINANCIAL RESOURCES INC|1600 A ST|STE 302|ANCHORAGE AK 99501|USA|||  ||STRAUB, CATHERINE MARY|907-272-6622|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/14/1989|0|0|0|0|0|0
San Francisco District 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 District Office| 110450|801-20786|DYNAMIC FUNDS MANAGEMENT INC|DYNAMIC FUNDS MANAGEMENT INC|1100 MAR WEST ST SUITE D||TIBURON CA 94920|USA|||  ||JEFFREY C. TROUTNER|415 435-5009|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 District 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 District 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 District Office| 110470|801-14753|SHUMAN & SCHNEIDER|SHUMAN & SCHNEIDER|44 MONTGOMERY STREET|SUITE 3710|SAN FRANCISCO CA 94104|USA|||  ||EDWARD J. SCHNEIDER,III|(415) 788-1172|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/30/1979|0|0|0|0|0|0
San Francisco District 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 District 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|Portfolio 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 District Office| 110492|801-13146|KERWIN-BELEY & ASSOCIATES, INC.|KERWIN BELEY & ASSOCIATES INC|16300 MILL CREEK BLVD|STE 206|MILL CREEK WA 98012-1294|USA|||  ||DORIS HOLLOWAY|425-742-1700|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|07/08/1977|0|0|0|0|0|0
San Francisco District 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), Pension consulting services, Publication of periodicals or newsletters|APPROVED|04/02/1996|0|0|0|0|0|0
San Francisco District Office| 110506|801-57695|TANNER & ASSOCIATES ASSET MANAGEMENT|TANNER & ASSOCIATES ASSET MANAGEMENT|14417 BIG BASIN WAY, SUITE "B"||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 District 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 District Office| 110552|801-10883|DAVIDSON INVESTMENT ADVISORS, INC.|DAVIDSON INVESTMENT ADVISORS, INC.|8 THIRD STREET NORTH||GREAT FALLS MT 59401|USA|||  ||ANDERS BERRY|406-727-4200|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|08/08/1975|0|0|0|0|0|0
San Francisco District Office| 110561|801-37814|HOEFER & ARNETT CAPITAL MANAGEMENT, INC.|HOEFER & ARNETT CAPITAL MANAGEMENT, INC.|555 MARKET ST. 18TH FLOOR||SAN FRANCISCO CA 94105|USA|||  ||ARTHUR RAITANO|415-538-5700|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/20/1990|0|0|0|0|0|0
San Francisco District 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, Publication of periodicals or newsletters|APPROVED|02/17/1989|0|0|1|0|0|0
San Francisco District 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 District Office| 110578|801-54957|PRO CONSCIENCE FUNDS INC|FEMMX FINANCIAL|625 MARKET ST|16TH FLOOR|SAN FRANCISCO CA 94105|USA|||  ||JANE E. DRAKE|415-547-9135|Corporation|Portfolio management for investment companies|APPROVED|12/09/1997|0|0|0|0|0|0
San Francisco District Office| 110587|801-54834|MASTHOLM ASSET MANAGEMENT LLC|MASTHOLM ASSET MANAGEMENT LLC|10500 NE 8TH ST|STE 1725|BELLEVUE WA 98004|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 District 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 District Office| 110640|801-23659|QUEST INVESTMENT MANAGEMENT INC|QUEST INVESTMENT MANAGEMENT INC|ONE SW COLUMBIA ST., SUITE 1100||PORTLAND OR 97258|USA|||  ||CAMERON JOHNSON|503-221-0158|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|03/12/1985|0|0|0|0|0|0
San Francisco District Office| 110654|801-26800|NOROIAN CAPITAL MANAGEMENT|NOROIAN STEVEN A & ASSOCIATES INC|100 PINE STREET|SUITE 2800|SAN FRANCISCO CA 94111|USA|||  ||MICHAEL MCNEILL|415-398-8766|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 District Office| 110656|801-50572|PATTERSON FINANCIAL SERVICES INC|MPF ADVISERS, LP|1640 SCHOOL ST||MORAGA CA 94556|USA|||  ||JERI BLUTH|925-631-9100|Corporation|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 District Office| 110666|801-20857|SALIENT FINANCIAL CORP|SALIENT FINANCIAL CORP|750 LINDARO STREET|SUITE 130|SAN RAFAEL CA 94901|USA|||  ||NEAL E. ROUNTREE|(415) 526-2900|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/27/1984|0|1|2|0|0|0
San Francisco District Office| 110672|801-23649|NEUMEIER INVESTMENT COUNSEL LLC|NEUMEIER INVESTMENT COUNSEL LLC|26435 CARMEL RANCHO BLVD||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 District Office| 110687|801-52638|SYMPHONY ASSET MANAGEMENT LLC|SYMPHONY ASSET MANAGEMENT LLC|555 CALIFORNIA STREET|SUITE 2975|SAN FRANCISCO CA 94104-1605|USA|||  ||NEIL L. RUDOLPH|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), Pension consulting services, Other|APPROVED|08/07/1996|0|1|0|0|0|0
San Francisco District Office| 110699|801-39656|EVANS CAPITAL MANAGEMENT ASSOCIATES|EVANS R L CO INC|600 STEWART STREET|SUITE 1210|SEATTLE WA 98101|USA|||  ||DEBORAH FRANSEEN|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 District 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 District 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 District Office| 110724|801-14929|BELVEDERE GROUP, LLC|BELVEDERE GROUP, LLC|55 MAIN STREET, STE. 200||TIBURON CA 94920|USA|||  ||CHRISTINA ISAZA|415.435.5433|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|11/26/1979|0|0|0|0|0|0
San Francisco District 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 District 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 District 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|APPROVED|04/02/1990|0|0|0|0|0|0
San Francisco District Office| 110790|801-17932|HARRINGTON INVESTMENTS, INC.|HARRINGTON INVESTMENTS, INCORPORATED|1001 SECOND STREET|SUITE 325|NAPA CA 94559|USA|PO BOX 6108||NAPA CA 94581-1108|USA|SUSAN K. BOGAR|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 District 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 District 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 District Office| 110837|801-44891|ALBERT HEEG INVESTMENT MANAGEMENT|HEEG ALBERT JOSEPH JR.|2027 ASCOT DRIVE|SUITE 100|MORAGA CA 94556|USA|||  ||DENNIS F. GEE|925 631 0236|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 District 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|||  ||JOHANNE CASTRO|(415)222-4499|Limited Liability Company|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 District 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 District Office| 110886|801-60101|SASSER INVESTMENT MANAGEMENT, INC.|PFG INVESTMENT SERVICES, INC.|414 13TH STREET|SUITE 400|OAKLAND CA 94612|USA|||  ||BRADLEY D. SASSER|(510) 452-9144|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/22/2001|0|0|0|0|0|0
San Francisco District Office| 110906|801-55351|CYPRESS MANAGEMENT ADVISORS, LLC|CYPRESS MANAGEMENT ADVISORS, LLC|100 PINE STREET|SUITE 2700|SAN FRANCISCO CA 94111|USA|||  ||LEE ROOT|415-229-9012|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|03/17/1998|0|1|1|0|0|0
San Francisco District 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 District Office| 110922|801-58264|DAVIDSON TRUST CO.|DAVIDSON TRUST CO.|8 THIRD STREET NORTH||GREAT FALLS MT 59401|USA|||  ||ARTHUR P. SIMS|406-791-7441|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|12/02/2000|0|1|0|0|0|0
San Francisco District 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 District Office| 110952|801-19727|PETERSEN HASTINGS INVESTMENT MANAGEMENT INC|PETERSEN HASTINGS INVESTMENT MANAGEMENT INC|8203 W QUINAULT|SUITE 700|KENNEWICK WA 99336|USA|||  ||JEFFREY C. PETERSEN|(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 District 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 District 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 District 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 District 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), Publication of periodicals or newsletters|APPROVED|06/01/2001|0|0|0|0|0|0
San Francisco District 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|CRAIG RANDALL HAMILTON|253-857-1615|Limited Liability Company|Other|APPROVED|04/04/2001|0|0|0|0|0|0
San Francisco District Office| 111027|801-55916|LEGACY ADVISORY SERVICES, INC.|LEGACY ADVISORY SERVICES, INC.|2090 MARINA AVENUE|BOX 6030|PETALUMA CA 94954-6030|USA|||  ||ANN MARIE FOLEY|707-781-6133|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Market timing services|APPROVED|11/12/1998|0|5|2|0|0|0
San Francisco District 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 District Office| 111072|801-57201|SPRINGER INVESTMENT MANAGEMENT, INC.|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 District Office| 111073|801-58201|BEAN FINANCIAL ADVISORS, INC.|BEAN FINANCIAL ADVISORS, INC.|16640  NE 83RD STREET||REDMOND WA 98052|UNITED STATES|||  ||STEPHEN C. BEAN|(425) 702-1973|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|12/29/2000|0|0|0|0|0|0
San Francisco District Office| 111081|801-56616|ROMAIN WALSH CLEROU PROFESSIONAL INVESTMENT MGMT|CLEROU ROMAIN PIERRE WALSH|18951 VIEW CREST DRIVE||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 District Office| 111130|801-56750|PAYPAL ASSET MANAGEMENT, INC.|PAYPAL ASSET MANAGEMENT, INC.|2211 N. FIRST STREET||SAN JOSE CA 95131|USA|||  ||JOHN D. MULLER|408-967-1233|Corporation|Portfolio management for investment companies|APPROVED|08/05/1999|0|0|0|0|0|0
San Francisco District Office| 111166|801-39540|HARBOUR INVESTMENT MANAGEMENT L.L.C.|HARBOUR INVESTMENT MANAGEMENT L.L.C.|1511 26TH STREET||EVERETT WA 98201-2907|USA|P.O. BOX 530||MUKILTEO WA 98275-0530|USA|HANS D. BERKENHOFF|(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 District 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 District Office| 111240|801-63811|FINANCIAL PERSPECTIVES|GIBSON, CHARLES, DANA|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 District Office| 111261|801-57803|FITECH ASSET MANAGEMENT LP|FITECH ASSET MANAGEMENT LP|4630 GEARY BLVD|SUITE 304|SAN FRANCISCO CA 94118|USA|||  ||ERIC M. P. TANG|415-386-3030|Limited Liability Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|07/21/2000|0|0|0|0|0|0
San Francisco District 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 District Office| 111295|801-58002|SAND HILL ADVISORS, INC.|SAND HILL ADVISORS, INC.|245 LYTTON AVENUE|SUITE 250|PALO ALTO CA 94301|USA|||  ||JAMES S. MCCAFFREY|650-854-9150|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|08/31/2000|0|0|0|0|0|0
San Francisco District 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 District Office| 111362|801-57392|ARBOR CAPITAL MANAGEMENT INC|ARBOR CAPITAL MANAGEMENT INC|1400 WEST BENSON BLVD.|SUITE 575|ANCHORAGE AK 99503|USA|||  ||STANLEY|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 District 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 District 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 investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/15/1978|0|4|0|0|0|0
San Francisco District Office| 111377|801-52152|FRANKLIN INVESTMENT ADVISORY SERVICES, LLC|FRANKLIN INVESTMENT ADVISORY SERVICES, LLC|ONE FRANKLIN PARKWAY||SAN MATEO CA 94403|USA|||  ||MONICA W. POON|(650) 312-4631|Limited Liability Company|Portfolio management for investment companies|APPROVED|06/21/1996|0|3|0|0|0|0
San Francisco District 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|APPROVED|11/05/1993|0|0|0|0|0|0
San Francisco District Office| 111384|801-60140|BEACON ROCK CAPITAL, LLC|BEACON ROCK CAPITAL, LLC|121 SW MORRISON STREET|SUITE 450|PORTLAND OR 97204|USA|||  ||CHERYL RUTH ATHERLY|503-227-6800|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|04/18/2001|0|0|0|0|0|0
San Francisco District 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 District 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)217-444|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|09/03/1999|0|0|0|0|0|0
San Francisco District 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 District Office| 111470|801-24618|KENNEDY ASSOCIATES REAL ESTATE COUNSEL INC|KENNEDY ASSOCIATES REAL ESTATE COUNSEL INC|2400 FINANCIAL CENTER|1215 FOURTH AVE.|SEATTLE WA 98161|USA|||  ||STEVEN S. BREMNER|206-623-4739|Corporation|Other|APPROVED|07/25/1985|0|0|0|0|0|0
San Francisco District Office| 111571|801-65351|ORIGIN CAPITAL MANAGEMENT LLC|ORIGIN CAPITAL MANAGEMENT LLC|120 KEARNY STREET|SUITE 3300|SAN FRANCISCO CA 94108|USA|120 KEARNY STREET, SUITE 3300||SAN FRANCISCO CA 94108||CHRISTOPHER J. ELIAS|415 398-7988|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/19/2006|0|0|0|0|0|0
San Francisco District Office| 111616|801-57184|APERIO GROUP LLC|APERIO GROUP LLC|THREE HARBOR DRIVE, SUITE 315||SAUSALITO CA 94965|USA|||  ||PAUL SOLLI|415-339-4304|Limited Liability Company|Financial 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|01/20/2000|0|0|0|0|0|0
San Francisco District Office| 111639|801-62638|THE PUTNEY FINANCIAL GROUP, REGISTERED INVESTMENT ADVISORS|LENT, RAYMOND LAWRENCE|1099 D STREET|PENTHOUSE B|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 District Office| 111684|801-57358|BARNES & NELSON UNION PARTNERS|BARNES & NELSON UNION PARTNERS|3245 146TH PLACE SE|SUITE 290|BELLEVUE WA 98007-6481|USA|||  ||KIM ALEXANDER NELSON|425-378-1944|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/03/2000|0|0|0|0|0|0
San Francisco District 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 District 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|||  ||STEVEN DOUGLAS GRAND-JEAN|415-512-8512|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 District 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 businesses or institutional clients (other than investment companies)|APPROVED|06/27/1991|0|0|0|0|0|0
San Francisco District 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 District 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 District 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 District Office| 111852|801-21129|THE DELTA GROUP|DELTA ADVISORS INC|5050 EL CAMINO REAL|STE. 100|LOS ALTOS CA 94022|USA|||  ||ERIC D. DAHL|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 District 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 District 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 District 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 District 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 District 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 District Office| 111897|801-63325|STADJUHAR WEALTH STRATEGISTS|O.C. GROUP, INC.|7777 GREENBACK LANE, STE.106||CITRUS HEIGHTS CA 95610|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 District Office| 111944|801-57589|THE CAMPBELL GROUP, LLC|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 District 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 District Office| 112013|801-57295|JAHN INVESTMENT ADVISORS|JAHN LELA DAWN|1736 STOCKTON STREET|SUITE 8|SAN FRANCISCO CA 94133|USA|||  ||LELA JAHN|(415) 397-9393|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/25/2000|0|0|0|0|0|0
San Francisco District Office| 112016|801-39280|TDA|TURNER DALE ASSOCIATES 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 District 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, Pension consulting services|APPROVED|04/10/1996|0|0|0|0|0|0
San Francisco District 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 District Office| 112109|801-60296|J.P. KING & ASSOCIATES|JAMES PATRICK KING|1600 SOUTH MAIN STREET, SUITE 100||WALNUT CREEK CA 94596|USA|||  ||JACKIE WALKER|925-935-1555|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|05/23/2001|0|0|0|0|0|0
San Francisco District Office| 112141|801-55005|ODYSSEY VALUE ADVISORS, LLC|ODYSSEY VALUE ADVISORS, LLC|220 SANSOME STREET|SUITE 900|SAN FRANCISCO CA 94104|USA|||  ||WILLIAM VLAHOS|(415) 982-2123|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/30/1997|0|0|0|0|0|0
San Francisco District Office| 112170|801-55375|SPRINGCREEK ADVISORS, LLC|SPRINGCREEK ADVISORS, LLC|770 TAMALPAIS DRIVE|SUITE 210|CORTE MADERA CA 94925|USA|||  ||PETER M. SUSKO|415 945-7050|Limited Liability Company|Financial planning services, Selection of other advisers, Other|APPROVED|03/23/1998|0|0|0|0|0|0
San Francisco District 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|JOHN M. OLIVER|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 District Office| 112177|801-56772|RESONANCE CAPITAL MANAGEMENT LLC|RESONANCE CAPITAL MANAGEMENT LLC|925 FOURTH AVENUE|SUITE #3900|SEATTLE WA 98104|USA|||  ||DAVID J. DIRECTOR|206-664-8807|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|08/13/1999|0|0|0|0|0|0
San Francisco District 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 District 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 A. PORATH|818-385-3541|Other (specify)|Other|APPROVED|09/08/1998|0|0|0|0|0|0
San Francisco District 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 District Office| 112245|801-33315|MILLIMAN|MILLIMAN, INC.|1301 FIFTH AVE STE 3800||SEATTLE WA 98101-2605|USA|||  ||BRIAN S. POLLACK|206-624-7940|Corporation|Pension consulting services, Selection of other advisers, Other|APPROVED|12/30/1988|0|0|0|0|0|0
San Francisco District Office| 112305|801-60616|MERK INVESTMENTS LLC|MERK INVESTMENTS LLC|1274 GREEN OAK LANE||LOS ALTOS CA 94024|USA|555 BRYANT STREET #455||PALO ALTO CA 94301|USA|ALEXANDER G. MERK|8772706999|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Other|APPROVED|10/10/2001|0|0|0|0|0|0
San Francisco District Office| 112328|801-57817|INFANGER INVESTMENT TECHNOLOGY, LLC|INFANGER INVESTMENT TECHNOLOGY, LLC|2680 BAYSHORE PARKWAY|SUITE 206|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 District 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|Portfolio management for individuals and/or small businesses|APPROVED|04/01/1994|0|0|0|0|0|0
San Francisco District Office| 112411|801-57174|BAY CITY FINANCIAL SERVICES INC|BAY CITY FINANCIAL SERVICES INC|1708 F ST.||BELLINGHAM WA 98225|USA|PO BOX 1588||BELLINGHAM WA 98227-1588|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 District Office| 112474|801-63053|JDH ASSET MANAGEMENT & INSURANCE SERVICES, LLC|JDH ASSET MANAGEMENT & INSURANCE SERVICES, LLC|3510 UNOCAL PLACE|SUITE 300|SANTA ROSA CA 95403-0919|USA|||  ||TIMOTHY J. DELANEY|707.542.1110|Limited Liability Company|Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|05/07/2004|1|0|0|0|0|0
San Francisco District 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 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 District Office| 112499|801-26861|SANDER CAPITAL ADVISORS|SANDER CAPITAL ADVISORS|4105 E. MADISON ST.|SUITE 300|SEATTLE WA 98112|USA|||  ||ELAINE PERETTI|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 District Office| 112531|801-57590|SHORELINE INVESTMENT MANAGEMENT CO|SHORELINE INVESTMENT MANAGEMENT CO|3000 HANOVER ST|M/S 1037|PALO ALTO CA 94304|USA|||  ||ELIZABETH OBERSHAW|650-857-7587|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 District 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 District 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|Sole Proprietorship|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 District 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 District 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 District Office| 112674|801-61922|GUIDED CHOICE ASSET MANAGEMENT, INC.|GUIDED CHOICE ASSET MANAGEMENT, INC.|1570 THE ALAMEDA|SUITE 212|SAN JOSE CA 95126|USA|||  ||SHERRIE|408-297-7111|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/10/2002|0|0|0|0|0|0
San Francisco District Office| 112689|801-46957|LAUE CAPITAL MANAGEMENT INC|LAUE CAPITAL MANAGEMENT INC|2875 OLD OAK LANE||MORGAN HILL CA 95037|USA|PO BOX 820||MORGAN HILL CA 95038|USA|BRAD R. LAUE|408-782-1003|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|06/20/1994|0|0|0|0|0|0
San Francisco District 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 District Office| 112798|801-56045|JOHN W. PARKER|JOHN W. PARKER|800 RINGWOOD AVENUE||MENLO PARK CA 94025|USA|||  ||HOWARD 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 District Office| 112846|801-39839|GROH ASSET MANAGEMENT INC|GROH ASSET MANAGEMENT INC|700 MONTGOMERY STREET||SAN FRANCISCO CA 94111|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|0|0|0|0|0
San Francisco District 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 District 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 individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/19/1995|0|0|0|0|0|0
San Francisco District Office| 112945|801-34195|CHAN P & CO INC|CHAN P & CO INC|4040 CIVIC CENTER DRIVE|SUITE 200|SAN RAFAEL CA 94903|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 District Office| 112949|801-54694|THURLOW CAPITAL MANAGEMENT, INC.|THURLOW CAPITAL MANAGEMENT, INC.|2001 SODA CANYON ROAD||NAPA CA 94558|USA|3212 JEFFERSON STREET #416||NAPA CA 94558|USA|THOMAS THURLOW|707-252-6931|Corporation|Portfolio management for investment companies|APPROVED|06/26/1997|0|1|0|0|0|0
San Francisco District Office| 113001|801-15881|TERRY COXON INC.|COXON TERRY INC|625 SECOND STREET|SUITE 102|PETALUMA CA 94952|USA|||  ||ROBERT B. MARTIN, JR.|626-793-8500|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/31/1981|0|1|0|0|0|0
San Francisco District Office| 113008|801-32359|SAGE INVESTMENT MANAGEMENT|MICHAEL FRANCIS O'NEILL|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 District Office| 113044|801-60818|COMMON SENSE INVESTMENT MANAGEMENT, LLC|COMMON SENSE INVESTMENT MANAGEMENT, LLC|15350 SW SEQUOIA PARKWAY, SUITE 140||PORTLAND OR 97224|USA|||  ||SCOTT A. THOMPSON|503-603-2503|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/11/2002|0|0|0|0|0|0
San Francisco District Office| 113079|801-60292|EMERY & HOWARD PORTFOLIO MANAGEMENT|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 District 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 District Office| 113186|801-63262|BERGMAN INVESTMENT MANAGEMENT|BERGMAN DOUGLAS EDWARD|101 LOMBARD ST. 915W||SAN FRANCISCO CA 94111|USA|||  ||DOUGLAS BERGMAN|415-956-4011|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|06/18/2004|0|0|0|0|0|0
San Francisco District 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 District Office| 113354|801-60884|RNP ADVISORY SERVICES, INC.|RNP ADVISORY SERVICES, INC.|1740 TECHNOLOGY DR. SUITE 260||SAN JOSE CA 95110|USA|||  ||KEVIN M ROONEY|408-487-9280|Corporation|Financial planning services, Portfolio management for 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|0|0|0|0|0
San Francisco District 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 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 District Office| 113466|801-60537|THOMAS WEISEL ASSET MANAGEMENT LLC|THOMAS WEISEL ASSET MANAGEMENT LLC|ONE MONTGOMERY STREET|SUITE 3700|SAN FRANCISCO CA 94104|USA|||  ||DAVID A. BAYLOR|415-364-2507|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 District Office| 113562|801-60961|BOWMAN & COMPANY, LLP|BOWMAN & COMPANY, LLP|2431 WEST MARCH LANE, SUITE 100||STOCKTON CA 95207-6598|USA|||  ||TAYLOR M. WELZ|209/473-1040|Limited Liability Partnership|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/22/2002|0|0|0|0|0|0
San Francisco District Office| 113582|801-60407|MARIN FINANCIAL ADVISORS|DAVID N. SHORE|80 E. SIR FRANCIS DRAKE BLVD.|SUITE 1A|LARKSPUR CA 94939|USA|||  ||CHRISTINE CIONE|415-925-1212|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|07/13/2001|0|0|0|0|0|0
San Francisco District 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 District 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)|APPROVED|07/13/2001|0|0|0|0|0|0
San Francisco District 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 District Office| 113647|801-60946|EVNINE-VAUGHAN ASSOCIATES, INC.|EVNINE & ASSOCIATES, INC.|456 MONTGOMERY STREET|8TH FLOOR|SAN FRANCISCO CA 94104-1241|USA|||  ||JEREMY EVNINE|415-835-7801|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 District 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 District 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, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|02/06/2004|0|0|0|0|0|0
San Francisco District Office| 113820|801-61078|LOFTUS INVESTMENT ADVISORS|BETTY RAE LOFTUS|11344 COLOMA ROAD|SUITE 525|GOLD RIVER CA 95670|USA|||  ||NEVA REESE|(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 District Office| 113909|801-60431|BABCOCK & BROWN INVESTMENT ADVISER LLC|BABCOCK & BROWN INVESTMENT ADVISER LLC|2 HARRISON STREET, 6TH FLOOR||SAN FRANCISCO CA 94105|USA|||  ||NANCY J. HITCHINGS|415-512-1515|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|07/23/2001|0|0|0|0|0|0
San Francisco District 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 District 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 District Office| 114092|801-60653|MELVIN LOVE|LOVE, MELVIN DALE|1414 16TH AVENUE||LONGVIEW WA 98632|USA|||  ||JULIE WATSON|360-425-9345|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|10/24/2001|0|0|0|0|0|0
San Francisco District Office| 114093|801-62709|LIGHTHOUSE FINANCIAL PLANNING|LIGHTHOUSE FINANCIAL PLANNING, LLC|3550 WATT AVENUE|SUITE 135|SACRAMENTO CA 95821|USA|||  ||JAMES R. JOHNSON|916-979-7888|Limited Liability Company|Financial planning services, 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 District 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 District Office| 114110|801-64934|LIBERTY GROUP, LLC|LIBERTY GROUP, LLC|3923 GRAND AVE.||OAKLAND CA 94610|USA|||  ||DAVID JAMES HOLLANDER|(510) 658-1880|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/03/2006|0|0|0|0|0|0
San Francisco District 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 District Office| 114310|801-60485|PARAMETRIC PORTFOLIO ASSOCIATES|PARAMETRIC PORTFOLIO ASSOCIATES LLC|1151 FAIRVIEW AVENUE NORTH||SEATTLE WA 98109|USA|||  ||AARON SINGLETON|(206)694-4142|Limited Liability Company|Portfolio 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 District Office| 114445|801-55877|RELIANT CONSULTING & RESEARCH|CLARK DANIEL|365 ERICKSEN AVENUE N.E.|SUITE 320|BAINBRIDGE ISLAND WA 98110|USA|||  ||DANIEL CLARK|206-855-8172|Corporation|Financial planning services, Pension consulting services, Selection of other advisers|APPROVED|10/01/1998|0|0|0|0|0|0
San Francisco District 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 businesses or institutional clients (other than investment companies), Other|APPROVED|08/17/2001|0|0|0|0|0|0
San Francisco District Office| 114572|801-61605|WILLOW RIDGE CAPITAL ADVISORS, INC.|WILLOW RIDGE CAPITAL ADVISORS, INC.|409 WASHINGTON STREET|SUITE 202-A|MONTEREY CA 93940|USA|||  ||STEVEN C. MERRELL|831-373-3936|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|11/22/2002|0|0|0|0|0|0
San Francisco District 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 District Office| 114813|801-60638|SUTTER ADVISORS LLC|SUTTER ADVISORS LLC|550 CALIFORNIA STREET 14TH FL.||SAN FRANCISCO CA 94104|USA|||  ||MONICA W. POON|415-396-7016|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/16/2001|0|0|0|0|0|0
San Francisco District Office| 114843|801-60520|MCBRIDE FINANCIAL ADVISORS, LLC|MCBRIDE FINANCIAL ADVISORS, LLC|419 OCCIDENTAL AVENUE S.|SUITE 600|SEATTLE WA 98104|USA|||  ||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 District Office| 114905|801-60475|FRANKLIN TEMPLETON ALTERNATIVE STRATEGIES, INC.|FRANKLIN TEMPLETON ALTERNATIVE STRATEGIES, INC.|ONE FRANKLIN PARKWAY||SAN MATEO CA 94403-1906|USA|||  ||TIMOTHY S. STEARNS|TELEPHONE (954) 527-7630|Corporation|Portfolio 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|4|0|0|0|0
San Francisco District Office| 114913|801-60536|VISTA CAPITAL PARTNERS, INC.|VISTA CAPITAL PARTNERS, INC.|9400 SW BARNES ROAD|SUITE 450|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 District Office| 115060|801-60509|MCMORGAN & COMPANY LLC|MCMORGAN & COMPANY LLC|ONE BUSH STREET, SUITE 800||SAN FRANCISCO CA 94104|USA|||  ||TERESA MATZELLE|415-616-9372|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/11/2001|0|37|4|0|0|0
San Francisco District Office| 115157|801-60894|PACIFIC ASSET MANAGEMENT, LLC|PACIFIC ASSET MANAGEMENT, LLC|11400 98TH AVE NE # 201||KIRKLAND WA 98033|USA|||  ||JOYCE BLOOMQUIST|425-820-1769|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|02/04/2002|0|0|0|0|0|0
San Francisco District Office| 115508|801-61266|T.F. KING & ASSOCIATES|KING, THEODORE, FRANKLIN|1012 SW KING AVENUE, SUITE 206||PORTLAND OR 97205|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 District 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|APPROVED|10/03/2001|0|0|0|0|0|0
San Francisco District 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 District 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 District Office| 115927|801-64837|NATIONAL ASSET MANAGEMENT, INC.|NATIONAL ASSET MANAGEMENT, INC.|1001 4TH AVE|STE 2200|SEATTLE WA 98154|USA|||  ||JULIE GAY|206 622-7200|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/03/2005|0|43|4|0|0|0
San Francisco District Office| 115963|801-61497|MALCOLM H. GISSEN & ASSOCIATES, LLC|MALCOLM H. GISSEN & ASSOCIATES, LLC|1700 CALIFORNIA STREET|SUITE 335|SAN FRANCISCO CA 94109|USA|||  ||HERMANN LARA|415-749-6565|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|10/21/2002|0|1|0|0|0|0
San Francisco District Office| 115970|801-60935|HALLETT & ASSOCIATES, P.S.|HALLETT & ASSOCIATES, P.S.|321 EAST FIRST STREET|P.O. BOX 3050|PORT ANGELES WA 98362|USA|P. O. BOX 3050||PORT ANGELES WA 98362|USA|JOANNE HALLETT|360-457-6000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/22/2002|0|0|0|0|0|0
San Francisco District Office| 116040|801-60637|AVERA GLOBAL PARTNERS, L.P.|AVERA GLOBAL PARTNERS, L.P.|TWO EMBARCADERO CENTER|SUITE 2350|SAN FRANCISCO CA 94111|USA|||  ||J. PHILLIP OELZE, JR.|415-274-7700|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/12/2003|0|0|0|0|0|0
San Francisco District 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 District 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 District Office| 116316|801-64936|M. ALLISON BEEZER, CFA|BEEZER, MARY ALLISON|1127 10TH AVE E.|#2|SEATTLE WA 98102|USA|||  ||M. ALLISON BEEZER, CFA|206-323-3700|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|01/11/2006|0|0|0|0|0|0
San Francisco District Office| 116372|801-63381|SADLER CAPITAL MANAGEMENT, INC.|SADLER CAPITAL MANAGEMENT, INC.|513 N. MORNINGSIDE WAY, SUITE 200||BOISE ID 83712|USA|||  ||JEFFREY A. SADLER|208-384-8515|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|08/02/2004|0|0|0|0|0|0
San Francisco District 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 District 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, Pension consulting services, Selection of other advisers|APPROVED|04/29/2002|0|0|0|0|0|0
San Francisco District Office| 116462|801-63995|GOODRICH & ASSOCIATES, INC.|GOODRICH & ASSOCIATES, INC.|851 COHO WAY|SUITE 312|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 District 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 District Office| 116557|801-63131|JEFFREY J. BOGDANOVICH, CPA|JEFFREY JAY BOGDANOVICH|9725 3RD AVENUE NE|SUITE 504|SEATTLE WA 98115|USA|||  ||JEFFREY J. BOGDANOVICH|206-522-4478|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
San Francisco District 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 District Office| 116587|801-61937|SMART INVESTOR|SMART INVESTOR|6810 FIVE STAR BLVD.|SUITE 250|ROCKLIN CA 95677|USA|||  ||TINA HERRMANN|916-626-5070|Corporation|Financial planning services, 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 District Office| 116632|801-61884|VAN HULZEN ASSET MANAGEMENT|VAN HULZEN ASSET MANAGEMENT, LLC|711 COURT STREET||JACKSON CA 95642|USA|||  ||CRAIG VANHULZEN|(209) 223-1225|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 District Office| 116636|801-61796|PINNACLE INVESTMENT STRATEGIES|SMITH,KEVIN LEE|4963 N.E. 85TH STREET||SEATTLE WA 98115|USA|||  ||KEVIN LEE SMITH|206-525-1283|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/11/2003|0|0|0|0|0|0
San Francisco District 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 District Office| 116761|801-60760|AETOS ALTERNATIVES MANAGEMENT|AETOS ALTERNATIVE MANAGEMENT, LLC|2180 SAND HILL ROAD|FOURTH FLOOR|MENLO PARK CA 94025|USA|||  ||HAROLD SCHAAFF|212-201-2533|Limited Liability Company|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 District 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 District Office| 116865|801-60686|CLEARWATER ADVISORS, LLC|CLEARWATER ADVISORS, LLC|250 S. 5TH STREET|SUITE 150|BOISE ID 83702|USA|||  ||C. DAVID DUNN|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 District Office| 116884|801-60737|ALLIANZ HEDGE FUND PARTNERS L.P.|ALLIANZ HEDGE FUND PARTNERS L.P.|FOUR EMBARCADERO CENTER|32ND FLOOR|SAN FRANCISCO CA 94111|USA|680 NEWPORTCENTER DRIVE|SUITE 250|NEWPORT BEACH CA 92660|USA|JANET SQUITIERI|(212) 739-3231|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|11/29/2001|0|0|1|0|0|0
San Francisco District 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 District 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 District Office| 117056|801-63827|SHELGREN FINANCIAL GROUP, INC.|SHELGREN FINANCIAL GROUP, INC.|3900 E. VALLEY RD.|#202|RENTON WA 98055|USA|||  ||STEVE SHELGREN|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 District 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 District Office| 117114|801-64224|THE COMMERCE COMPANY|THE COMMERCE COMPANY|5440 SW WESTGATE DRIVE|#110|PORTLAND OR 97221|USA|||  ||LAURA SCHWARTZ|5032038585|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|04/28/2005|0|0|0|0|0|0
San Francisco District Office| 117127|801-60688|MENGIS CAPITAL MANAGEMENT, INC.|MENGIS CAPITAL MANAGEMENT, INC.|ONE SW COLUMBIA|SUITE 780|PORTLAND OR 97258|USA|||  ||J. JEFFREY MENGIS|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 District Office| 117201|801-64132|SYNERGY FINANCIAL MANAGEMENT, LLC|SYNERGY FINANCIAL MANAGEMENT, LLC|701 FIFTH AVE SUITE 4610||SEATTLE WA 98104|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 District Office| 117238|801-62524|PURCELL ADVISORY SERVICES, LLC|PURCELL ADVISORY SERVICES, LLC|711 COMMERCE, SUITE 200||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 District Office| 117294|801-62891|CASCADE INVESTMENT ADVISORS, INC.|CASCADE INVESTMENT ADVISORS, INC.|1507 NW 24TH AVENUE||PORTLAND OR 97210|USA|||  ||MICHELLE DICUS|503-417-1950|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|03/18/2004|0|0|0|0|0|0
San Francisco District Office| 117343|801-61366|ALSIN CAPITAL MANAGEMENT, INC.|ALSIN CAPITAL MANAGEMENT, INC.|975 WILLAGILLESPIE, STE 200||EUGENE OR 97401|USA|P.O. BOX 7365||EUGENE OR 97401|USA|ARNE TORSTEN ALSIN|(541) 345-8573|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|08/05/2002|0|0|0|0|0|0
San Francisco District 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 District 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|APPROVED|03/06/2006|0|0|0|0|0|0
San Francisco District Office| 117667|801-62959|BERKELEY, INC|BERKELEY, INC|6001 W. STATE STREET|SUITE B|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 District 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 District 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 District Office| 118044|801-66299|PARVEST ASSET MANAGEMENT, INC.|PARVEST ASSET MANAGEMENT, INC.|300 DRAKE'S LANDING ROAD|SUITE 200|GREENBRAE CA 94904|USA|||  ||STEVEN PSALEDAKIS|(415) 464-5505|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/01/2006|0|0|0|0|0|0
San Francisco District Office| 118138|801-60835|MCCOMAS INVESTMENT MANAGEMENT|MCCOMAS, JAMES ALBERT|5 CHELTON COURT||ORINDA CA 94563-4216|USA|||  ||JAMES A. MCCOMAS|(925) 376-4199|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|01/10/2002|0|0|0|0|0|0
San Francisco District 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 District 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|APPROVED|08/31/2005|0|0|0|0|0|0
San Francisco District 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|||  ||ANTHONY M. SPANGENBERG|(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 District 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 District Office| 118299|801-64914|LEGEND CAPITAL MANAGEMENT, LLC|LEGEND CAPITAL MANAGEMENT, LLC|631 BRIDGEWAY||SAUSALITO CA 94965|USA|||  ||JAMES M. BOGIN|(415) 331-2941|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/23/2005|0|0|0|0|0|0
San Francisco District Office| 118393|801-64210|CONOVER CAPITAL MANAGEMENT|CONOVER CAPITAL MANAGEMENT, LLC|11250 KIRKLAND WAY|SUITE 100|KIRKLAND WA 98033-3422|USA|PO BOX 3299||KIRKLAND WA 98083-3299|USA|DON TORGET|425-897-7101|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|04/28/2005|0|0|0|0|0|0
San Francisco District Office| 118397|801-65340|ASCEND CAPITAL LLC|ASCEND CAPITAL LLC|600 MONTGOMERY STREET|37TH FLOOR|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 District Office| 118432|801-57264|GENESIS CAPITAL MANAGEMENT, LLC|GENESIS CAPITAL MANAGEMENT, LLC|332 PINE STREET|STE. 507|SAN FRANCISCO CA 94104-3225|USA|||  ||EMORY RICHARDSON|415-362-5605|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/14/2000|0|0|0|0|0|0
San Francisco District Office| 118438|801-63125|MORRISON & FRAZIER, LLC|MORRISON & FRAZIER, LLC|3658 MT. DIABLO BOULEVARD|SUITE 215|LAFAYETTE CA 94549|USA|||  ||RICHARD H. MORRISON|(925) 283-1500|Limited Liability Company|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 District Office| 118483|801-61303|STANCELL ASSET MANAGEMENT LLC|STANCELL ASSET MANAGEMENT LLC|1215 K STREET|17TH  FLOOR|SACRAMENTO CA 95814|USA|||  ||ROBERT V. STANCELL|(916) 503-3183|Limited Liability Company|Portfolio management for investment companies|APPROVED|07/08/2002|0|0|0|0|0|0
San Francisco District 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 District Office| 118637|801-60863|STARMONT ASSET MANAGEMENT, LLC|STARMONT ASSET MANAGEMENT, LLC|4115 BLACKHAWK PLAZA CIRCLE|SUITE 200|DANVILLE CA 94506|USA|||  ||HARVEY ROWEN, ESQ.|925-648-4733|Limited Liability Company|Financial planning services, Portfolio management for 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 District 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 District Office| 118846|801-60867|BEECHER INVESTMENT MANAGEMENT|BEECHER INVESTMENT MANAGEMENT|1050 NORTHGATE DRIVE #180||SAN RAFAEL CA 94903|USA|||  ||HUGH BEECHER|415-499-9350|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|01/23/2002|0|0|0|0|0|0
San Francisco District Office| 118867|801-62884|JORDAHL & SLITER FINANCIAL SOLUTIONS, LLC|JORDAHL & SLITER FINANCIAL SOLUTIONS, LLC|2 SUNSET PLAZA||KALISPELL MT 59901-1600|USA|PO BOX 8600||KALISPELL MT 59904-1600|USA|SUSAN NAIVE|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 District Office| 118875|801-64941|COMPUTATIONAL MANAGEMENT, INC.|COMPUTATIONAL MANAGEMENT, INC.|3655 SW 70TH AVENUE||PORTLAND OR 97225-2605|USA|||  ||JAY BARRY EPPERSON, JR.|503-297-5097|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/09/2005|0|0|0|0|0|0
San Francisco District 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 District 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 District Office| 119050|801-63437|ASPEN CAPITAL MANAGEMENT|ASPEN CAPITAL MANAGEMENT|802 W. BANNOCK ST.|7TH FLOOR|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 District 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, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/19/2005|0|0|0|0|0|0
San Francisco District Office| 119185|801-61031|LIFESTYLE DESIGN GROUP LLC|LIFESTYLE DESIGN GROUP LLC|1762 TECHNOLOGY DRIVE|SUITE 106|SAN JOSE CA 95110|USA|||  ||THOMAS EDWARD QUINLIN|408-437-1410|Limited 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
San Francisco District 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|3|0|0|0|0
San Francisco District Office| 119269|801-66001|PRIMARIUS CAPITAL LLC|PRIMARIUS CAPITAL LLC|101 CALIFORNIA STREET|SUITE 4010|SAN FRANCISCO CA 94111|USA|||  ||PATRICK LIN|(415) 675-3351|Limited Liability Company|Other|APPROVED|01/27/2006|0|0|0|0|0|0
San Francisco District 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)|APPROVED|01/03/2005|0|0|0|0|0|0
San Francisco District 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|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 District 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, Pension consulting services|APPROVED|01/02/2004|0|0|0|0|0|0
San Francisco District Office| 119508|801-66128|MAAS CAPITAL ADVISORS, LLC|MAAS CAPITAL ADVISORS, LLC|1600 VALLEY RIVER DRIVE|SUITE 380|EUGENE OR 97401|USA|||  ||JAMES LOUIS CORBEAU|541-359-4257|Limited 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 District Office| 119572|801-64733|ENABLE CAPITAL MANAGEMENT, LLC|ENABLE CAPITAL MANAGEMENT, LLC|ONE FERRY BUILDING|SUITE 255|SAN FRANCISCO 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|10/07/2005|0|0|0|0|0|0
San Francisco District 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|Partnership|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 District 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 District 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 District 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 District Office| 120200|801-62695|LUMEN ADVISORS, LLC|LUMEN ADVISORS, LLC|ONE FERRY BUILDING|SUITE 255|SAN FRANSCISCO CA 94111|USA|||  ||SIMON E. NOCERA|415-677-1558|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/15/2004|0|0|0|0|0|0
San Francisco District 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 District Office| 120275|801-61149|ORION PARTNERS, LLC|ORION PARTNERS, LLC|50 FRANCISCO STREET|SUITE 203|SAN FRANCISCO CA 94133|USA|||  ||HOWARD T. HALEN, III|415-901-4222|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/17/2002|0|0|0|0|0|0
San Francisco District 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 District Office| 120376|801-61822|BEDROCK CAPITAL MANAGEMENT, INC.|BEDROCK CAPITAL MANAGEMENT, INC.|5050 EL CAMINO REAL|SUITE 204|LOS ALTOS CA 94022|USA|||  ||JOEL SHAPS|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 District Office| 120443|801-65702|OLYMPIUS CAPITAL, L.P.|OLYMPIUS CAPITAL, L.P.|ONE MARKET|STEUART TOWER, SUITE 1400|SAN FRANCISCO CA 94105|USA|||  ||EDWARD RODDEN|415.856.0556|Partnership|Selection of other advisers, Other|APPROVED|01/27/2006|0|0|0|0|0|0
San Francisco District 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|||  ||JACK HELFAND|(415) 364-2917|Limited Liability Company|Other|APPROVED|06/21/2002|0|0|0|0|0|0
San Francisco District Office| 120541|801-63521|CRITERION CAPITAL MANAGEMENT|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 District Office| 120545|801-61128|WESTEND CAPITAL MANAGEMENT, LLC.|WESTEND CAPITAL MANAGEMENT, LLC.|1 MARKET SPEAR TOWER STE. 1800||SAN FRANCSICO CA 94105|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 District Office| 120600|801-61200|GOLDEN GATE FINANCIAL GROUP, LLC|GOLDEN GATE FINANCIAL GROUP, LLC|50 FRANCISCO STREET|SUITE 203|SAN FRANCISCO CA 94133|USA|||  ||HOWARD T. HALEN III|415-362-5006|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|05/24/2002|0|0|0|0|0|0
San Francisco District Office| 120634|801-61180|PRIVATE CAPITAL MANAGEMENT, INC.|RAMOS FINANCIAL CORPORATION|900 LARKSPUR LANDING CIRCLE|SUITE 240|LARKSPUR CA 94939|USA|||  ||CHARLES JOSEPH RAMOS|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|APPROVED|05/17/2002|0|0|0|0|0|0
San Francisco District 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 District 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 District Office| 120938|801-63712|TATE, PROPP, BEGGS & SUGIMOTO, AN ACCOUN|TATE, PROPP, BEGGS & SUGIMOTO, AN ACCOUN|1545 RIVER PARK DRIVE|SUITE 375|SACRAMENTO CA 95815-4614|USA|||  ||MARY J CANIGLIA, CPA|916-929-1006|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|01/03/2005|0|0|0|0|0|0
San Francisco District Office| 120972|801-61268|THE LEGACY GROUP, LTD.|THE LEGACY GROUP, LTD.|2720 COMMERCIAL STREET SE|SUITE 260|SALEM OR 97302|USA|PO BOX 790||SALEM OR 97308|USA|NIKOLE BALL|503-581-6020|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/02/2002|0|0|1|0|0|0
San Francisco District Office| 121158|801-62343|NAPA VALLEY WEALTH MANAGEMENT|CRANE, KELLY FARWELL|2255 CONTRA COSTA BLVD|STE 312|PLEASANT HILL CA 94523|USA|||  ||KELLY F. CRANE|925-827-4393X202|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|09/22/2003|0|0|0|0|0|0
San Francisco District Office| 121168|801-61603|PAUL CAPITAL PARTNERS|3000 MANAGEMENT, INC.|50 CALIFORNIA STREET, SUITE 3000||SAN FRANCISCO CA 94111|USA|||  ||CHENETTE, LEO P.|646-264-1147|Corporation|Other|APPROVED|11/15/2002|0|0|0|0|0|0
San Francisco District 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 investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|12/18/2002|0|0|0|0|0|0
San Francisco District 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 District Office| 121593|801-62949|WOOD, HAT & SILVER, L.L.C.|WOOD, HAT & SILVER, L.L.C.|1130 FIRST STREET|SUITE 229|NAPA CA 94559|USA|||  ||JOSEPH M. AARON|(707) 259-1222|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|04/09/2004|0|1|1|0|0|0
San Francisco District 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 District Office| 121893|801-65541|SYMMETRY CAPITAL MANAGEMENT LLC|SYMMETRY CAPITAL MANAGEMENT LLC|ONE MONTGOMERY STREET|33RD FLOOR|SAN FRANCISCO CA 94104|USA|||  ||BOB MORELLI|(415) 374-8295|Limited Liability Company|Other|APPROVED|01/24/2006|0|0|0|0|0|0
San Francisco District Office| 121922|801-63481|PRUDENT INVESTOR ADVISORS, LLC|PRUDENT INVESTOR ADVISORS, 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|09/15/2004|0|0|0|0|0|0
San Francisco District Office| 122090|801-63593|MIDANEK/PAK ADVISORS, LLC|MIDANEK/PAK ADVISORS, LLC|1981 N. BROADWAY|SUITE 320|WALNUT CREEK CA 94596|USA|||  ||JOHN D. PAK|(925) 927-4600|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/05/2004|0|0|0|0|0|0
San Francisco District 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)|APPROVED|11/08/2002|0|0|0|0|0|0
San Francisco District Office| 122198|801-63298|COMPASS FUND MANAGEMENT, LLC|COMPASS FUND MANAGEMENT, LLC|50 CALIFORNIA STREET|SUITE 3315|SAN FRANCISCO CA 94111|USA|||  ||EDWARD S. EHEE|(415) 403-5750|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/24/2004|0|0|0|0|0|0
San Francisco District 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 District 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 District Office| 122459|801-61442|EGM CAPITAL, LLC|EGM 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 District Office| 122535|801-65225|OSMIUM PARTNERS, LLC|OSMIUM PARTNERS, LLC|388 MARKET STREET|SUITE 920|SAN FRANCISCO CA 94111-5311|USA|||  ||MARK DIDOVIC|415-362-4484|Limited Liability Company|Other|APPROVED|01/11/2006|0|0|0|0|0|0
San Francisco District 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 District 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 District Office| 122966|801-63574|SILVER CREEK CAPITAL MANAGEMENT LLC|SILVER CREEK CAPITAL MANAGEMENT LLC|1301 5TH AVENUE, 40TH FLOOR||SEATTLE WA 98101|USA|||  ||JONATHAN FISHER|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 District Office| 123101|801-61652|PLANTOOLS, LLC|PLANTOOLS, LLC|2200 POWELL ST, SUITE 610||EMERYVILLE CA 94608|USA|||  ||WARD M HARRIS|800-638-8121X121|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|02/12/2003|0|0|0|0|0|0
San Francisco District Office| 123301|801-61487|WOODSIDE ASSET MANAGEMENT, INC.|WOODSIDE ASSET MANAGEMENT, INC.|3000 SAND HILL ROAD, 2-160||MENLO PARK CA 94025|USA|||  ||WILLIAM MAHON|408-654-6295|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|10/01/2002|0|0|0|0|0|0
San Francisco District 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 District 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 District 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 District 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 District Office| 123659|801-61578|FINANCIAL VISION LLC|FINANCIAL VISION LLC|718 UNIVERSITY AVE.|SUITE 216|LOS GATOS CA 95032|USA|PO BOX 271||LA HONDA CA 94020|USA|DAVID YAGER|408-395-4808|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 District Office| 123851|801-63940|CURO ASSET MANAGEMENT, LLC|CURO ASSET MANAGEMENT, LLC|6001 INDIAN TRAIL, NE||TACOMA WA 98442|USA|||  ||DANIEL P. JACOY|253-943-5297|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|02/24/2005|0|0|0|0|0|0
San Francisco District 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 District Office| 124147|801-62201|FRANK, RIMERMAN ADVISORS LLC|FRANK, RIMERMAN ADVISORS LLC|1801 PAGE MILL ROAD||PALO ALTO CA 94304|USA|||  ||PATRICIA FARRAR-RIVAS|650-845-8126|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 District 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 District 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 District Office| 124272|801-61642|THE CAPROCK GROUP, INC.|THE CAPROCK GROUP, INC.|800 WEST IDAHO STREET|SUITE 300|BOISE ID 83702|USA|||  ||MARK GUSTAFSON|(208) 368-9600|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|APPROVED|12/17/2002|0|0|0|0|0|0
San Francisco District 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 District Office| 124474|801-65391|C.G. MANAGEMENT PARTNERS, L.P.|C.G.MANAGEMENT PARTNERS, L.P.|BLDG. 1, #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 District Office| 124537|801-64412|BUENA VISTA FUND MANAGEMENT, LLC.|BUENA VISTA FUND MANAGEMENT, LLC.|ONE MARITIME PLAZA|SUITE 1540|SAN FRANCISCO CA 94111|USA|||  ||FATIMA UDAIPURWALA|415-433-1020|Limited Liability Company|Other|APPROVED|06/14/2005|0|0|0|0|0|0
San Francisco District Office| 124567|801-61674|SVB ASSET MANAGEMENT|SVB ASSET MANAGEMENT|185 BERRY STREET|LOBBY 1, 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 District Office| 124604|801-61683|HARGIS CAPITAL MANAGEMENT|HARGIS CAPITAL MANAGEMENT|2011 N 22ND AVENUE, SUITE 1||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 District Office| 124706|801-63998|GSB CAPITAL, LLC|GSB CAPITAL, LLC|50 CALIFORNIA STREET, SUITE 1500||SAN FRANCISCO CA 94111|USA|||  ||GEOFFREY BENNETT|(415) 277-5935|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/24/2005|0|0|0|0|0|0
San Francisco District Office| 124794|801-65575|REDWOOD GROVE CAPITAL MANAGEMENT, LLC|REDWOOD GROVE CAPITAL 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)|APPROVED|01/27/2006|0|0|0|0|0|0
San Francisco District 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 District Office| 124968|801-65668|STEPHENS INVESTMENT MANAGEMENT, LLC|STEPHENS INVESTMENT MANAGEMENT, LLC|ONE SANSOME STREET|SUITE 2900|SAN FRANCISCO CA 94104|USA|||  ||MARY WILLIAMSON|(415) 835-3819|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
San Francisco District 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), Selection of other advisers, Other|APPROVED|04/24/2003|0|0|0|0|0|0
San Francisco District 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 District 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 District Office| 125344|801-63871|SEASONS CAPITAL MANAGEMENT, LLC|SEASONS CAPITAL MANAGEMENT, LLC|FIFTY CALIFORNIA STREET|SUITE 2750|SAN FRANCISCO CA 94111|USA|||  ||KATHLYNE KIAIE|415 247-5345|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 District 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 District Office| 125523|801-61878|ALGERT COLDIRON INVESTORS, LLC|ALGERT COLDIRON INVESTORS, LLC|555 CALIFORNIA STREET|SUITE 3325|SAN FRANCISCO CA 94104|USA|||  ||KEVIN K. COLDIRON|(415) 675-7300|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/11/2003|0|0|0|0|0|0
San Francisco District Office| 125541|801-65000|MILE ROCK PARTNERS CAPITAL MANAGEMENT, LLC|MILE ROCK PARTNERS CAPITAL MANAGEMENT, LLC|2515 NINTH STREET||BERKELEY CA 94710|USA|||  ||WILLIAM H. OWENS|(510) 870-8400|Limited Liability Company|Other|APPROVED|01/10/2006|0|0|0|0|0|0
San Francisco District Office| 125553|801-63021|GRUBMAN FINANCIAL CONSULTING, INC|GRUBMAN FINANCIAL CONSULTING, INC|3 MUIR WAY||BERKELEY CA 94708-1709|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|APPROVED|05/03/2004|0|0|0|0|0|0
San Francisco District 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 District 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|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 District Office| 125918|801-61909|BB&R WEALTH MANAGEMENT, INC.|BB&R WEALTH MANAGEMENT, INC.|1676 NORTH CALIFORNIA BOULEVARD,|THIRD FLOOR|WALNUT CREEK CA 94596|USA|||  ||TIMOTHY CARLSON|(925) 954-0100|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|03/18/2003|0|0|0|0|0|0
San Francisco District Office| 126077|801-64785|SALEM ASSET MANAGEMENT, LLC|SALEM ASSET MANAGEMENT, LLC|435 COMMERCIAL NE|SUITE 200|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|APPROVED|10/14/2005|0|0|0|0|0|0
San Francisco District Office| 126150|801-61928|HARVEST CAPITAL ADVISORS INC.|HARVEST CAPITAL ADVISORS INC.|11000 NE 33RD PLACE, SUITE 101||BELLEVUE WA 98004|USA|||  ||LYNETTE JOHNSON|425.827.6236 X104|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 District Office| 126341|801-61956|BIRMIWAL ASSET MANAGEMENT, INC.|BIRMIWAL ASSET MANAGEMENT, INC.|5270 HIGHLAND DRIVE||BELLEVUE WA 98006-3424|USA|||  ||KAILASH BIRMIWAL|425-957-9436|Corporation|Portfolio management for investment companies|APPROVED|04/01/2003|0|0|0|0|0|0
San Francisco District 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 District Office| 126565|801-65950|BURLINGAME ASSET MANAGEMENT, LLC|BURLINGAME ASSET MANAGEMENT, LLC|ONE SANSOME STREET|SUITE 2900|SAN FRANCISCO CA 94104-4450|USA|||  ||VINCENT SCHRUPP|415-835-3850|Limited Liability Company|Other|APPROVED|01/23/2006|0|0|0|0|0|0
San Francisco District Office| 126615|801-62040|HUNTINGTON STEELE LLC|HUNTINGTON STEELE LLC|925 4TH AVENUE #3700||SEATTLE WA 98104|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 District Office| 126696|801-62096|BELDEN AND ASSOCIATES|BELDEN AND ASSOCIATES|650 CALIFORNIA STREET|24TH FLOOR|SAN FRANCISCO CA 94108-2605|USA|||  ||LOUIS D. BELDEN|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 District 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 District Office| 126742|801-62022|VERITY WEALTH ADVISORS, LLC|VERITY WEALTH ADVISORS, LLC|220 HALLECK STREET, STE 120A|P.O. BOX 29504|SAN FRANCISCO CA 94129-0504|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 District Office| 126796|801-65569|SEACLIFF CAPITAL, LLC|SEACLIFF CAPITAL, LLC|101 CALIFORNIA STREET|SUITE 4009|SAN FRANCISCO CA 94111|USA|||  ||A. JAMES ELLMAN|(415) 675-3252|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
San Francisco District Office| 126849|801-62038|APPLE & ASSOCIATES|APPLE & ASSOCIATES|10565 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 District Office| 126909|801-62613|GENESIS CAPITAL LLC|GENESIS CAPITAL LLC|5202 OLYMPIC DRIVE NW|SUITE 101|GIG HARBOR WA 98335|USA|||  ||MICHAEL DUBINSKY|253-853-4900|Limited Liability Company|Other|APPROVED|01/07/2004|0|0|0|0|0|0
San Francisco District Office| 126930|801-63547|AMERICAN PEGASUS INVESTMENT MANAGEMENT,INC.|AMERICAN PEGASUS INVESTMENT MANAGEMENT,INC.|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 District Office| 127059|801-62751|HOLBROOK GLOBAL STRATEGIES|GLOBAL WEALTH STRATEGIES LLC|635 BRYANT STREET||PALO ALTO CA 94301|USA|505 ST. THOMAS LANE||FOSTER CITY CA 94404|USA|RICHARD HOLBROOK|650-346-2630|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other, Financial planning services|APPROVED|02/03/2004|0|0|0|0|0|0
San Francisco District Office| 127067|801-62134|BERKELEY CAPITAL MANAGEMENT LLC|BERKELEY CAPITAL MANAGEMENT LLC|FOUR EMBARCADERO CENTER|SUITE 3150|SAN FRANCISCO CA 94111-4113|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)|APPROVED|05/07/2003|0|0|0|0|0|0
San Francisco District 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, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|06/09/2003|0|0|0|0|0|0
San Francisco District 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|GINGER SMITH|916-435-5424|Limited Liability Company|Selection of other advisers|APPROVED|02/25/2005|0|0|0|0|0|0
San Francisco District 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 District 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 District Office| 127614|801-62244|BEECHWOOD ADVISORY GROUP, LLC|BEECHWOOD ADVISORY GROUP, LLC|2251 E. BEECHWOOD AVE.,||FRESNO CA 93720|USA|||  ||MARK L. PRENDERGAST|559-325-8200|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|08/01/2003|0|0|0|0|0|0
San Francisco District 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|0|0|0|0|0
San Francisco District 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 District 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 District Office| 127751|801-62455|POLARIS EQUITY MANAGEMENT, INC.|POLARIS EQUITY MANAGEMENT, INC.|250 CAMINO ALTO,|SUITE 110A|MILL VALLEY CA 94941|USA|||  ||JEFFREY J. POWELL|(415) 388-8555|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 District Office| 127758|801-62234|LEGACY WEALTH ADVISORS, LLC|LEGACY WEALTH ADVISORS, LLC|1399 YGNACIO VALLEY ROAD|SUITE 29|WALNUT CREEK CA 94598|USA|||  ||GARY P. GARDNER|(925) 937-7800|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|APPROVED|07/25/2003|0|0|0|0|0|0
San Francisco District Office| 127794|801-62334|DENALI CAPITAL MANAGEMENT LLC|DENALI CAPITAL MANAGEMENT LLC|315 BARNETTE STREET|SUITE 201|FAIRBANKS AK 99701|USA|||  ||J. SCOTT 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 District Office| 127937|801-65745|CLARKSDALE CAPITAL, LLC|CLARKSDALE CAPITAL, LLC|220 MONTGOMERY ST. SUITE 500||SAN FRANCISCO CA 94104|USA|||  ||ALI SAADATNEZHADI|415-399-5181|Limited Liability Company|Other|APPROVED|02/01/2006|0|1|0|0|0|0
San Francisco District Office| 127988|801-62266|RIGEL CAPITAL LLC|RIGEL CAPITAL LLC|3930 TWO UNION SQUARE|601 UNION STREET|SEATTLE WA 98101|USA|||  ||ANN MOE|206-467-2681|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/08/2003|0|0|0|0|0|0
San Francisco District 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|Financial planning 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|09/05/2003|0|0|0|0|0|0
San Francisco District 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, Publication of periodicals or newsletters|APPROVED|01/02/2004|0|0|0|0|0|0
San Francisco District Office| 128066|801-62370|BAKER STREET ADVISORS, LLC|BAKER STREET ADVISORS, LLC|50 FREMONT STREET 17TH FLOOR||SAN FRANCISCO CA 94105|USA|||  ||JEFFREY COLIN|415-344-6137|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 District Office| 128097|801-66144|CAPSTONE WEALTH MANAGEMENT GROUP, LLC|CAPSTONE WEALTH MANAGEMENT GROUP, LLC|121 NW GREENWOOD AVENUE|SUITE 101|BEND OR 97701|USA|||  ||DAVID SAVAGE|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 District Office| 128101|801-62440|CATON FINANCIAL|CATON, NANCY KAY|101 LARKSPUR LANDING CIRCLE|SUITE 220|LARKSPUR CA 94939|USA|||  ||JODI JOHNSON|415 461-6248|Sole Proprietorship|Financial planning services, Selection of other advisers|APPROVED|10/17/2003|0|0|0|0|0|0
San Francisco District Office| 128231|801-65120|IMAGINE CAPITAL MANAGEMENT, LLC|IMAGINE CAPITAL MANAGEMENT, LLC|ONE CALIFORNIA STREET, 28TH FLOOR||SAN FRANCISCO CA 94111|USA|||  ||ANDERS KAMPERIN|415-765-7120|Limited Liability Company|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
San Francisco District Office| 128321|801-62350|MYVEST CORPORATION|MYVEST CORPORATION|625 MARKET STREET, 7TH FLOOR||SAN FRANCISCO CA 94105|USA|||  ||PAUL BERGHOLM|415-601-9674|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 District Office| 128407|801-62358|LUCRUM CAPITAL, LLC|LUCRUM CAPITAL, LLC|ONE SANSOME STREET|SUITE 3907|SAN FRANCISCO CA 94104|USA|||  ||THOMAS M. ZEIFANG|415-288-2124|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 District 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 District Office| 128449|801-62402|REGIS MANAGEMENT COMPANY, LLC|REGIS MANAGEMENT COMPANY, LLC|300 HAMILTON AVENUE,4TH FLOOR||PALO ALTO CA 94301|USA|||  ||ROBERT BURLINSON|650 838 1030|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 District Office| 128483|801-62469|CUTLER INVESTMENT COUNSEL, LLC|CUTLER INVESTMENT COUNSEL, LLC|3555 LEAR WAY||MEDFORD OR 97504|USA|||  ||BROOKE C. ASHLAND|541 770 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), Selection of other advisers|APPROVED|10/31/2003|0|0|0|0|0|0
San Francisco District 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 District 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 District 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 District Office| 128586|801-62398|THE GOLUB GROUP|GOLUB GROUP, LLC|2929 CAMPUS DRIVE|SUITE 145|SAN MATEO CA 94403|USA|||  ||KURT HOEFER|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 District 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|APPROVED|03/26/2004|0|0|0|0|0|0
San Francisco District Office| 128761|801-62451|SCHULTZ AND ASSOCIATES INC.|SCHULTZ AND ASSOCIATES INC.|125 NORTH 2ND ST|PO BOX 863|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 District 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 District Office| 129051|801-64206|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|05/04/2005|0|0|0|0|0|0
San Francisco District 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 District Office| 129449|801-64696|FORT POINT CAPITAL MANAGEMENT LLC|FORT POINT CAPITAL MANAGEMENT LLC|ONE MONTGOMERY ST|SUITE 3300|SAN FRANCISCO CA 94104|USA|||  ||ROBERT RIEMER|(415) 394-1086|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|09/13/2005|0|0|0|0|0|0
San Francisco District Office| 129486|801-62532|RAINBOW CAPITAL, LLC|RAINBOW CAPITAL, LLC|2 PABLO PLACE||CARMEL VALLEY CA 93924|USA|||  ||ANDREW GOODMAN|831-659-8777|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 District 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)|APPROVED|07/21/2005|0|0|0|0|0|0
San Francisco District Office| 129596|801-62705|THOMAS & ATKINSON CAPITAL MANAGEMENT LLC|THOMAS & ATKINSON CAPITAL MANAGEMENT LLC|2180 SAND HILL ROAD|SUITE 320|MENLO PARK CA 94025-6935|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 District 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-120|12/02/2005|0|0|0|0|0|0
San Francisco District Office| 129651|801-62674|CITY-CORE CAPITAL|CITY-CORE CAPITAL, LLC|2352 POST STREET SUITE 200||SAN FRANCISCO CA 94115|USA|||  ||ANDRE HAKKAK|415-497-6777|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/26/2004|0|0|0|0|0|0
San Francisco District Office| 129670|801-62838|ALPINE GLOBAL INVESTMENTS, INC.|ALPINE GLOBAL INVESTMENTS, INC.|601 MONTGOMERY|SUITE 325|SAN FRANCISCO CA 94111|USA|||  ||ANDRE HAKKAK|415.497.6777|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Selection of other advisers|APPROVED|02/24/2004|0|0|0|0|0|0
San Francisco District 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 District Office| 129769|801-62636|HANGAR 4 PARTNERS, LLC|HANGAR 4 PARTNERS, LLC|4 HAMILTON LANDING, SUITE 205||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 District Office| 129776|801-62601|NELSON ROBERTS INVESTMENT ADVISORS, LLC|NELSON ROBERTS INVESTMENT ADVISORS, LLC|2000 UNIVERSITY AVENUE|#601|EAST PALO ALTO CA 94303|USA|||  ||BRIAN ROBERTS|(650) 322-4000|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
San Francisco District Office| 129872|801-63077|FREESTONE INVESTMENTS|FREESTONE INVESTMENTS LLC|1191 SECOND AVENUE, SUITE 2100||SEATTLE WA 98101|USA|||  ||JUSTIN YOUNG|206-398-2015|Limited Liability Company|Other|APPROVED|05/10/2004|0|0|0|0|0|0
San Francisco District Office| 129903|801-62712|THE THRESHOLD GROUP, LLC|THE 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|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|01/16/2004|0|0|0|0|0|0
San Francisco District 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 District 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 District 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 District 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 District Office| 130191|801-62715|INDEPENDENT REAL ESTATE ADVISORS, LLC|INSTITUTIONAL REAL ESTATE ADVISORS, LLC|33 UNION SQUARE #222||UNION CITY CA 94587|USA|||  ||DANIEL O'DONNELL|510.487.1494|Limited Liability Company|Pension consulting services, Other|APPROVED|02/04/2004|0|0|0|0|0|0
San Francisco District Office| 130232|801-63880|LESA SROUFE & COMPANY, INC.|LESA SROUFE & COMPANY, INC.|1200 5TH AVE., SUITE 1200||SEATTLE WA 98101|USA|||  ||KASSIE VO|206-838-8386|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 District 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 District Office| 130459|801-62936|COMPASS ANALYTICS, LLC|COMPASS ANALYTICS, LLC|900 LARKSPUR LANDING CIRCLE|SUITE 285|LARKSPUR CA 94939|USA|||  ||ROB KESSEL|415 925 2812|Limited Liability Company|Other|APPROVED|04/02/2004|0|0|0|0|0|0
San Francisco District 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 District Office| 130612|801-65188|ARTIS CAPITAL MANAGEMENT, LLC|ARTIS CAPITAL MANAGEMENT, LLC|ONE MARKET PLAZA, SPEAR STREET TOWER, SUITE 1700||SAN FRANCISCO CA 94105|USA|||  ||JOHN MILANI|415-344-6200|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/18/2006|0|0|0|0|0|0
San Francisco District Office| 130696|801-62971|MKG FINANCIAL GROUP,INC|MKG FINANCIAL GROUP,INC|1500 SW 1ST AVE SUITE 1000||PORTLAND OR 97201|USA|||  ||BRUCE BALL|503-226-6700|Corporation|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|0|0|0|0|0
San Francisco District 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 District Office| 130726|801-63993|PARACLE ADVISORS LLC|PARACLE ADVISORS LLC|1309 114TH AVE SE, SUITE 110||BELLEVUE WA 98004|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), Pension consulting services|APPROVED|03/31/2005|0|0|0|0|0|0
San Francisco District 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 District 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 District 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 District 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|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 District 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 District 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 District 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 District Office| 131224|801-63111|WINDERMERE INVESTMENT ASSOCIATES, LLC|WINDERMERE INVESTMENT ASSOCIATES, LLC|121 S W MORRISON|SUITE 925|PORTLAND OR 97204|USA|||  ||LAURA YORK|503-525-5017|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|04/29/2004|0|0|0|0|0|0
San Francisco District Office| 131240|801-63205|NORTH POINT ADVISORS|NORTH POINT ADVISORS|2200 POWELL STREET|SUITE 610|EMERYVILLE CA 94608|USA|||  ||ADRIAN ANDERSON|(510) 595-2900 EXT. 125|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|08/05/2004|0|0|0|0|0|0
San Francisco District Office| 131308|801-63287|CONTANGO CAPITAL ADVISORS|CONTANGO CAPITAL ADVISORS, INC.|WELMAN HOLDINGS, INC.|1608 FOURTH STREET, SUITE 410|BERKELEY CA 94710-1749|USA|||  ||ROSEMARIE RODRIGUEZ|213-593-2064|Corporation|Financial planning services, Portfolio management 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|07/28/2004|0|1|0|0|0|0
San Francisco District 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), Selection of other advisers|APPROVED|04/29/2004|0|0|0|0|0|0
San Francisco District Office| 131413|801-63788|PHILADELPHIA FINANCIAL|PHILADELPHIA FINANCIAL MANAGEMENT OF SAN FRANCISCO, LLC|ONE MARITIME PLAZA|11TH FLOOR|SAN FRANCISCO CA 94111|USA|||  ||RACHAEL CLARKE|(415) 869-4773|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 District 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 District Office| 131442|801-63126|FINLEY FINANCIAL, LLC|FINLEY FINANCIAL, LLC|1709 NE 27TH STREET|SUITE B|MCMINNVILLE OR 97128|USA|||  ||JAY FINLEY|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 District 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)|APPROVED|03/06/2006|0|0|0|0|0|0
San Francisco District Office| 131595|801-65737|MBF CAPITAL MANAGEMENT, INC.|MBF CAPITAL MANAGEMENT, INC.|100 SHORELINE HWY|SUITE A190|MILL VALLEY CA 94941-3673|USA|||  ||MARK BRADLEY FRIEDMAN, PRESIDENT|415-289-3939|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/07/2006|0|0|0|0|0|0
San Francisco District Office| 131618|801-63156|JON M. DUNCAN, CFP LLC|JON M. DUNCAN, CFP LLC|7350 CIRQUE DRIVE W., SUITE 111||UNIVERSITY PLACE WA 98467|USA|||  ||JON M. DUNCAN|(253)460-3430|Limited Liability Company|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 District Office| 131628|801-63206|GARNER FINANCIAL MANAGEMENT|GARNER, ROBERT JAMES|180 GRAND AVE|SUITE 955|OAKLAND CA 94612|USA|||  ||ROBERT GARNER|510-268-4730|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 District 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 District 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 District 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 District Office| 131699|801-63209|GRANGE CAPITAL, LLC|GRANGE CAPITAL, LLC|300 OSWEGO POINTE DRIVE|SUITE 220|LAKE OSWEGO OR 97034|USA|||  ||MEGAN W. CAMPBELL|5036753001|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|06/15/2004|0|0|0|0|0|0
San Francisco District Office| 131704|801-64653|LEGATO CAPITAL MANAGEMENT LLC|LEGATO CAPITAL MANAGEMENT LLC|433 CALIFORNIA STREET|11TH FLOOR|SAN FRANCISCO CA 94104|USA|||  ||VICTOR L. HYMES|415-869-6399|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 District 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 District 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 District 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|||  ||SUZANNE DAGGERT|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 District Office| 131957|801-63222|WEYERHAEUSER ASSET MANAGEMENT, LLC|WEYERHAEUSER ASSET MANAGEMENT, LLC|33663 WEYERHAEUSER WAY SOUTH|CH 1 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 District Office| 132020|801-63398|TAMALPAIS MANAGEMENT GROUP, L.P.|TAMALPAIS MANAGEMENT GROUP, L.P.|78 THROCKMORTON AVE. SUITE 200||MILL VALLEY CA 94941|USA|||  ||PEM HUDDLESTON|415 381 3982|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/30/2004|0|0|0|0|0|0
San Francisco District Office| 132035|801-63313|FIRST REPUBLIC WEALTH ADVISORS, LLC|FIRST REPUBLIC WEALTH ADVISORS, LLC|111 PINE ST||SAN FRANCISCO CA 94111|USA|||  ||CHRISTOPHER J. BRANCAZIO|212-759-7755|Limited Liability Company|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|07/15/2004|0|0|0|0|0|0
San Francisco District Office| 132102|801-65949|FALCON PACIFIC CAPITAL MANAGEMENT, LLC|FALCON PACIFIC CAPITAL MANAGEMENT, LLC|200 SW 4TH STREET, SUITE 208||CORVALLIS OR 97333|USA|||  ||STEVEN ADKINS, ESQ.|541-738-1700|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 District Office| 132122|801-63310|ELITE WEALTH MANAGEMENT, INC.|ELITE WEALTH MANAGEMENT, INC.|8100 SE 48TH STREET||MERCER ISLAND WA 98040|USA|||  ||FARIBA RONNASI|206-232-3740|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|07/02/2004|0|0|0|0|0|0
San Francisco District Office| 132131|801-64554|MULTNOMAH CAPITAL, INC.|MULTNOMAH CAPITAL, INC.|1815 SW MARLOW AVENUE|SUITE 210|PORTLAND OR 97225|USA|||  ||SCOTT CAMERON|503-772-0159|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|08/24/2005|0|0|0|0|0|0
San Francisco District Office| 132175|801-63416|ANNADEL CAPITAL|ANNADEL CAPITAL, INC.|899 NORTHGATE DRIVE|SUITE 302|SAN RAFAEL CA 94903|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|0|0|0|0
San Francisco District 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 District Office| 132372|801-63512|HERITAGE ASSET MANAGEMENT, LLC|HERITAGE ASSET MANAGEMENT, LLC|19001 NE GRINNELL RD.||WOODLAND WA 98674|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|09/24/2004|0|0|0|0|0|0
San Francisco District Office| 132395|801-63418|SNW FUND MANAGEMENT LLC|SNW FUND MANAGEMENT LLC|1420 FIFTH AVENUE|SUITE 4300|SEATTLE WA 98101|UNITED STATES|||  ||MICHAEL NEWHOUSE|206.628.2882|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/20/2004|0|2|0|0|0|0
San Francisco District 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 District 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 District 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 District 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|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|09/10/2004|0|0|0|0|0|0
San Francisco District 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 District 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 District Office| 132578|801-63625|GLB WEALTH MANAGEMENT, LLC|GLB WEALTH MANAGEMENT, LLC|703 BROADWAY, SUITE 510||VANCOUVER WA 98660|USA|||  ||CHAD BURTON|360-695-3405|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 District 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|415-986-1110|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 District Office| 132658|801-63663|PARTNER FUND MANAGEMENT, L.P.|PARTNER FUND MANAGEMENT, L.P.|ONE MARKET PLAZA|STEUART TOWER, 22ND FLOOR|SAN FRANCISCO CA 94105|USA|||  ||LARRY COWEN|415-281-1022|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/03/2005|0|0|0|0|0|0
San Francisco District Office| 132757|801-63518|EPOCH CONSULTING GROUP|EPOCH CONSULTING GROUP|181 CONCOURSE BLVD., SUITE B||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|APPROVED|10/04/2004|0|0|0|0|0|0
San Francisco District Office| 132879|801-63575|CONLON & DART LLC|CONLON & DART LLC|2025 FIRST AVENUE, SUITE 730||SEATTLE WA 98121|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 District Office| 132976|801-63629|CAVALRY ASSET MANAGEMENT|CAVALRY MANAGEMENT GROUP, LLC|ONE CALIFORNIA STREET|SUITE 3000|SAN FRANCISCO CA 94111|USA|||  ||KELLI D. BROWN|415-439-7014|Limited Liability Company|Other|APPROVED|11/05/2004|0|0|0|0|0|0
San Francisco District Office| 132996|801-64768|OPES ADVISORS, INC.|OPES ADVISORS, INC.|555 COLLEGE AVENUE||PALO ALTO CA 94306|USA|||  ||MARK DUVALL|650-319-1600|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 District Office| 133002|801-63955|STEEPLE CAPITAL L.P.|STEEPLE CAPITAL L.P.|600 MONTGOMERY STREET|17TH FLOOR|SAN FRANCISCO CA 94111|USA|||  ||JOHN J. REGAN|415-403-5851|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/17/2005|0|0|0|0|0|0
San Francisco District Office| 133009|801-64965|HEADWATER INVESTMENT CONSULTING,INC.|HEADWATER INVESTMENT CONSULTING,INC.|2300 SW 2ND STREET, SUITE A||MCMINNVILLE OR 97128|USA|P.O. BOX 417||MCMINNVILLE OR 97128|USA|BRIAN LAWRENCE, CFA|(503)562-2100|Corporation|Portfolio management for individuals and/or small businesses, Financial planning services, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/29/2005|0|0|0|0|0|0
San Francisco District Office| 133017|801-63556|ANDERSONFISHER LLC|ANDERSONFISHER LLC|4800 SW MEADOWS ROAD, SUITE 300||LAKE OSWEGO OR 97035|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), Pension consulting services|APPROVED|10/05/2004|0|0|0|0|0|0
San Francisco District Office| 133032|801-63568|KEVIAN CAPITAL MANAGEMENT LLC|KEVIAN CAPITAL MANAGEMENT LLC|CITICORP CENTER, ONE SANSOME ST. STE 2900||SAN FRANCISCO CA 94104|USA|||  ||MICHAEL C. HO, PHD|415-835-3830|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|10/14/2004|0|0|0|0|0|0
San Francisco District Office| 133184|801-63605|GREAT GABLE PARTNERS, LP|GREAT GABLE PARTNERS, LP|601 CALIFORNIA STREET|SUITE 750|SAN FRANCISCO CA 94108|USA|||  ||SIMON BAKER|415-986-1110|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 District Office| 133189|801-64717|CONNECTIVE CAPITAL MANAGEMENT, LLC|CONNECTIVE CAPITAL MANAGEMENT, LLC|385 HOMER AVENUE||PALO ALTO CA 94301|USA|||  ||ROBERT ROMERO|650-321-4826|Limited Liability Company|Other|APPROVED|09/27/2005|0|0|0|0|0|0
San Francisco District 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|Portfolio management for individuals and/or small businesses|APPROVED|02/15/2005|0|0|0|0|0|0
San Francisco District Office| 133315|801-63697|MT. EDEN INVESTMENT ADVISORS, LLC|MT. EDEN INVESTMENT ADVISORS, LLC|TWO EMBARCADERO CENTER|SUITE 1320|SAN FRANCISCO CA 94111|USA|||  ||WILLIAM S. MCCREERY|(415) 288-3000|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|12/09/2004|0|0|0|0|0|0
San Francisco District 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|||  ||CRAIG JOHNSEN|253-853-4900|Limited Liability Company|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 District 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 District 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|510-549-4585|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 District Office| 133457|801-65196|TRUE BEARING ASSET MANAGEMENT LP|TRUE BEARING ASSET MANAGEMENT LP|601 MONTGOMERY STREET, SUITE 710||SAN FRANCISCO CA 94111|USA|||  ||ANNABELLE WONG|(415)658-8721|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/18/2006|0|0|0|0|0|0
San Francisco District Office| 133460|801-63675|TUTTLE RISK MANAGEMENT SERVICES LLC|TUTTLE RISK MANAGEMENT SERVICES LLC|4700-42ND AVENUE SW|SUITE 430|SEATTLE WA 98116|USA|||  ||STEVE THOMSON|206-577-1445|Limited Liability Company|Other|APPROVED|11/19/2004|0|0|0|0|0|0
San Francisco District 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|APPROVED|01/03/2005|0|0|0|0|0|0
San Francisco District 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 District Office| 133629|801-63775|EPIC WEALTH MANAGEMENT|EPIC WEALTH MANAGEMENT|851 IRWIN STREET, SUITE 301||SAN RAFAEL CA 94901|USA|||  ||WILLIAM OSHER|415 526-4300|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/15/2004|0|1|0|0|0|0
San Francisco District Office| 133794|801-63826|MCCULLOUGH & ASSOCIATE LLC|MCCULLOUGH & ASSOCIATES LLC|101 CALIFORNIA STREET|SUITE 4250|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 District 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 District 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 District 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 District Office| 133975|801-64316|GIVEN AND DINI INVESTMENT MANAGEMENT|GIVEN AND DINI INVESTMENT MANAGEMENT|26352 CARMEL RANCHO LANE,|SUITE 201|CARMEL CA 93923|USA|||  ||BRUCE DINI|(831) 625-1530|Partnership|Portfolio management for individuals and/or small businesses, Other|APPROVED|06/16/2005|0|1|0|0|0|0
San Francisco District Office| 134015|801-66004|QUANTAL ASSET MANAGEMENT, LLC.|QUANTAL ASSET MANAGEMENT, LLC.|1936 UNIVERSITY AVENUE|SUITE 355|BERKELEY CA 94704|USA|||  ||TERRY MARSH|510-848-0470|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 District Office| 134018|801-63857|DCI|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 District Office| 134026|801-63884|ARCHER CAPITAL PARTNERS, LLC|ARCHER CAPITAL PARTNERS, LLC|25 CORTE MADERA AVENUE|SUITE 100|MILL VALLEY CA 94941|USA|||  ||WILLIAM R. HAZEN|415-380-3959|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/28/2005|0|0|0|0|0|0
San Francisco District 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, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/09/2006|0|0|0|0|0|0
San Francisco District 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, Publication of periodicals or newsletters|APPROVED|05/06/2005|0|0|0|0|0|0
San Francisco District 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 District Office| 134173|801-63916|THE MUTUAL FUND STORE|TMFS-SAN FRANCISCO-OAKLAND, LLC|5684 STONERIDGE DRIVE, SUITE A||PLEASANTON CA 94588|USA|||  ||WALT KASIANCHUK|925-227.0555|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|02/03/2005|0|0|0|0|0|0
San Francisco District Office| 134245|801-63918|JIMENEZ CAPITAL MANAGEMENT LLC|JIMENEZ CAPITAL MANAGEMENT LLC|11 SOUTH KNOLL RD. #6||MILL VALLEY CA 94941|USA|||  ||STEPHEN JIMENEZ|415-465-0295|Limited Liability Company|Other|APPROVED-120|02/11/2005|0|0|0|0|0|0
San Francisco District 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|Financial 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|02/17/2005|0|0|0|0|0|0
San Francisco District Office| 134376|801-64993|ISAAC MAYANJA & ASSOCIATES|ISAAC MAYANJA & ASSOCIATES|15759 NE 100TH WAY||REDMOND WA 98052|USA|||  ||ISAAC MAYANJA|(206)790-1662|Corporation|Selection of other advisers, Other|APPROVED-120|02/21/2006|0|1|0|0|0|0
San Francisco District Office| 134484|801-65488|PASSPORT CAPITAL, LLC|PASSPORT CAPITAL, LLC|402 JACKSON STREET||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 District Office| 134529|801-64067|BIVIUM CAPITAL PARTNERS, LLC|BIVIUM CAPITAL PARTNERS, LLC|44 MONTGOMERY STREET|SUITE 3065|SAN FRANCISCO CA 94104-4826|USA|||  ||M. NANCY HOLLIS|415-398-0601|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|03/21/2005|0|0|0|0|0|0
San Francisco District Office| 134542|801-64361|HOMEWOOD CAPITAL MANAGEMENT|WEE, WILLIAM KENNETH|3008 OAKRAIDER DRIVE||ALAMO CA 94507|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 District Office| 134567|801-64249|W.R. HAMBRECHT + CO. ASSET MANAGEMENT, LLC|W.R. HAMBRECHT + CO. ASSET MANAGEMENT, LLC|539 BRYANT STREET|SUITE 100|SAN FRANCISCO CA 94107|USA|||  ||GARY UTSCHIG|415-551-8619|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies|APPROVED|05/20/2005|0|1|0|0|0|0
San Francisco District Office| 134693|801-64085|CATALYST FINANCIAL PLANNING & INVESTMENT MANAGEMENT CORPORATION|CATALYST FINANCIAL PLANNING & INVESTMENT MANAGEMENT CORPORATION|5655 COLLEGE AVENUE|SUITE 250|OAKLAND CA 94618|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 District Office| 134719|801-64104|REDWOODS GLOBAL ASSET MANAGEMENT, LLC|REDWOODS GLOBAL ASSET MANAGEMENT, LLC|580 CALIFORNIA STREET|SUITE 505|SAN FRANCISCO CA 94104-1026|USA|||  ||CYNTHIA LIU|415-439-4889|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|04/07/2005|0|0|0|0|0|0
San Francisco District 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 GIBBONS|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 District Office| 134743|801-64735|KINGSFORD CAPITAL MANAGEMENT, LLC|KINGSFORD CAPITAL MANAGEMENT, LLC|1160 BRICKYARD COVE ROAD STE 300||POINT RICHMOND CA 94801|USA|||  ||BRIAN COONEY|(510) 231-9200|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/16/2005|0|0|0|0|0|0
San Francisco District Office| 134846|801-64263|BBR FINANCIAL SERVICES, LLC|BBR FINANCIAL SERVICES, 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 District Office| 134874|801-64119|KCO INVESTMENTS, INC.|KCO INVESTMENTS, INCORPORATED|726 LAKE STREET||SAN FRANCISCO CA 94118|USA|||  ||KEVIN O'BOYLE|415-751-0950|Corporation|Portfolio management for investment companies|APPROVED|04/20/2005|0|0|0|0|0|0
San Francisco District Office| 134962|801-66282|TALKOT CAPITAL, LLC|TALKOT CAPITAL, LLC|2400 BRIDGEWAY|SUITE 300|SAUSALITO CA 94965|USA|||  ||M. CASE FITZ-GERALD|415-332-3760|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies|APPROVED|02/24/2006|0|0|0|0|0|0
San Francisco District Office| 135082|801-64452|MASTERPLAN ADVISORS, INC.|MASTERPLAN ADVISORS, INC.|1750 SW HARBOR WAY, SUITE 400||PORTLAND OR 97201-5167|USA|1750 SW HARBOR WAY, SUITE 400||PORTLAND OR 97201-5167|USA|DAVID DOUGHERTY|503-241-8161|Corporation|Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|06/23/2005|0|0|0|0|0|0
San Francisco District Office| 135177|801-64578|AIES ADVISORS LLC|AIES ADVISORS LLC|400 OYSTER POINT BOULEVARD|SUITE 420|SOUTH SAN FRANCISCO CA 94080|USA|||  ||LONG N. PHAN|(650) 873-8288|Limited Liability Company|Other|APPROVED-120|08/01/2005|0|0|0|0|0|0
San Francisco District Office| 135188|801-64387|EVANSON ASSET MANAGEMENT, LLC|EVANSON ASSET MANAGEMENT, LLC|3483 GREENFIELD PLACE||CARMEL CA 93923-9425|USA|||  ||STEVEN E. EVANSON, PHD|831-625-5145|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 District Office| 135292|801-64230|LIFEWEALTH ADVISORS, INC.|LIFEWEALTH 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 District Office| 135333|801-64255|DESTINATION CAPITAL MANAGEMENT, INC.|DESTINATION CAPITAL MANAGEMENT, INC.|2001 NORTH MAIN STREET|STE 270|WALNUT CREEK CA 94596|USA|||  ||TANYA TRAPANI|925-935-2900|Corporation|Portfolio management for investment companies|APPROVED|05/12/2005|0|0|0|0|0|0
San Francisco District 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 District Office| 135427|801-64322|JUNIPER CAPITAL|JUNIPER CAPITAL|1397 WILLAMETTE STREET||EUGENE OR 97401|USA|||  ||STEPHEN WENDELL|541-683-5800|Corporation|Financial 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|06/28/2005|0|0|0|0|0|0
San Francisco District Office| 135440|801-64362|PRISM CAPITAL MANAGEMENT|PRISM CAPITAL MANAGEMENT|425 VINE STREET|SUITE 608|SEATTLE WA 98121|USA|||  ||DIETER DREWS|206-443-4321|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|07/11/2005|0|0|0|0|0|0
San Francisco District Office| 135455|801-64341|WELLSPRING CAPITAL MANAGEMENT|WELLSPRING CAPITAL MANAGEMENT, INC|2600 EL CAMINO REAL|SUITE 316|PALO ALTO CA 94306|USA|||  ||SANDRA MONEYPENNY|650 857-0275|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|05/26/2005|0|0|0|0|0|0
San Francisco District Office| 135463|801-64299|BLOCK CAPITAL LLC|BLOCK CAPITAL LLC|2433 MARINER SQUARE LOOP|SUITE 202|ALAMEDA CA 94501|USA|||  ||STEPHEN BLOCK|(510) 291-4574|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|05/16/2005|0|0|0|0|0|0
San Francisco District Office| 135470|801-64317|PHOCAS FINANCIAL CORPORATION|PHOCAS FINANCIAL CORPORATION|2433 MARINER SQUARE LOOP, SUITE 202||ALAMEDA CA 94501-1001|USA|||  ||WILLIAM SCHAFF|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 District 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 District Office| 135684|801-64408|GEM CAPITAL, LLC|GEM CAPITAL, LLC|83 BEACH ROAD||BELVEDERE CA 94920|USA|||  ||KEITH D. PAGAN|(415) 563-3844|Limited 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|06/29/2005|0|0|0|0|0|0
San Francisco District Office| 135806|801-64701|ROULAC GLOBAL FUNDS LLC|ROULAC GLOBAL FUNDS LLC|709 FIFTH AVENUE||SAN RAFAEL CA 94901|USA|||  ||STEPHEN ROULAC|415-451-4300|Limited Liability Company|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-120|09/13/2005|0|0|0|0|0|0
San Francisco District 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-120|01/23/2006|0|0|0|0|0|0
San Francisco District Office| 135935|801-64466|QUELLOS PRIVATE CAPITAL MARKETS, L.P.|QUELLOS PRIVATE CAPITAL MARKETS, L.P.|601 UNION STREET|56TH FLOOR|SEATTLE WA 98101|USA|||  ||MARIE M. BENDER|206-613-6753|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/08/2005|0|0|0|0|0|0
San Francisco District Office| 136021|801-64557|SUTTER CAPITAL MANAGEMENT, LLC|SUTTER CAPITAL MANAGEMENT, LLC|1640 SCHOOL STREET||MORAGA CA 94556|USA|||  ||DAN DAHLEN|925-631-9100|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 District 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 District Office| 136097|801-65241|BASIX CAPITAL, LLC|BASIX CAPITAL, LLC|ONE MONTGOMERY STREET|SUITE 3300|SAN FRANCISCO CA 94104|USA|||  ||MATTHEW P. SPOTSWOOD|415-248-1021|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/19/2006|0|0|0|0|0|0
San Francisco District 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 District Office| 136130|801-64591|REFLOW MANAGEMENT LLC|REFLOW MANAGEMENT LLC|433 CALIFORNIA STREET||SAN FRANCISCO CA 94104|USA|||  ||MARY CURRAN|415-869-6317|Limited Liability Company|Other|APPROVED|08/16/2005|0|0|0|0|0|0
San Francisco District Office| 136144|801-65101|MATTHES CAPITAL MANAGEMENT, LLC|MATTHES CAPITAL MANAGEMENT, LLC|ONE MARITIME PLAZA SUITE, 1425||SAN FRANCISCO CA 94111|USA|||  ||ANDREW G. MATTHES|415-765-5155|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 District Office| 136246|801-65297|PACIFIC EDGE INVESTMENT MANAGEMENT, LLC|PACIFIC EDGE INVESTMENT MANAGEMENT, LLC|444 HIGH STREET|SUITE 300|PALO ALTO CA 94301|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 District Office| 136265|801-64606|BLUE RIVER PARTNERS, LLC|BLUE RIVER PARTNERS, LLC|6210 STONERIDGE MALL ROAD|SUITE 300|PLEASANTON CA 94588|USA|||  ||STEWART JAMES COHUNE|925-251-3441|Limited Liability Company|Pension consulting services|APPROVED|08/10/2005|0|0|0|0|0|0
San Francisco District 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-120|09/12/2005|0|0|0|0|0|0
San Francisco District 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, Selection of other advisers|APPROVED|07/20/2005|0|0|0|0|0|0
San Francisco District Office| 136401|801-64542|FOUNDERS FINANCIAL NETWORK, LLC|FOUNDERS FINANCIAL NETWORK, LLC|10050 N. WOLFE ROAD|SW1-281|CUPERTINO CA 95014|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-120|08/03/2005|0|0|0|0|0|0
San Francisco District 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 District 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 District 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-120|10/12/2005|0|1|0|0|0|0
San Francisco District Office| 136665|801-64604|DENALI FIDUCIARY MANAGEMENT CORPORATION|DENALI FIDUCIARY MANAGEMENT CORPORATION|9609 SW CEMETERY ROAD||VASHON ISLAND WA 98070|USA|P.O. BOX 372||VASHON ISLAND WA 98070-0372|USA|WAYNE H. MILLER|(206) 463-6700|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/30/2005|0|0|0|0|0|0
San Francisco District Office| 136666|801-64642|INDUSINO RESEARCH & MANAGEMENT, LLC|INDUSINO RESEARCH & MANAGEMENT, LLC|C/O C.E. UNTERBERG, TOWBIN|456 MONTGOMERY STREET, STE 2200|SAN FRANCISCO CA 94104|USA|||  ||TIM BRINKMAN|415-659-2239|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED-120|09/09/2005|0|1|0|0|0|0
San Francisco District Office| 136686|801-64682|ALESCO GLOBAL ADVISORS LLC|ALESCO GLOBAL ADVISORS LLC|400 EL CAMINO REAL|SUITE 350|SAN MATEO CA 94402|USA|||  ||JAY P. LEUPP|650-342-8381|Limited Liability Company|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-120|08/30/2005|0|0|0|0|0|0
San Francisco District Office| 136694|801-66320|M FINANCIAL ASSET MANAGEMENT, INC.|M FINANCIAL ASSET MANAGEMENT, INC.|1125 NW COUCH ST|STE 900|PORTLAND OR 97209|USA|||  ||GERALD J. GRAVES|503-232-6960|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 District 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, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/08/2005|0|0|0|0|0|0
San Francisco District Office| 136865|801-64662|SHAREBUILDER ADVISORS, LLC|SHAREBUILDER ADVISORS, LLC|1445 120TH AVENUE NE||BELLEVUE WA 98005|USA|||  ||JAMES PIRAK|425-467-7325|Limited Liability Company|Pension consulting services|APPROVED|09/02/2005|0|0|0|0|0|0
San Francisco District 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)|APPROVED|09/30/2005|0|0|0|0|0|0
San Francisco District Office| 136947|801-64734|EVERGREEN WEALTH ADVISORS, INC.|EVERGREEN WEALTH ADVISORS, INC.|339 LOWELL LANE||LAFAYETTE CA 94549|USA|2121 N. CALIFORNIA BLVD., SUITE 290||WALNUT CREEK CA 94596|USA|ERIC R. HULL|(925) 974-3529|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|01/18/2006|0|0|0|0|0|0
San Francisco District Office| 137131|801-64850|EAGLE PEAK ASSET MANAGEMENT, LLC|EAGLE PEAK ASSET MANAGEMENT, LLC|11632 POINTE PLACE||ANACORTES WA 98221|USA|||  ||ROBERT ATLEE RICHARDS|530-582-1306|Limited Liability Company|Portfolio management for individuals and/or small businesses, Other|APPROVED-120|11/15/2005|0|0|0|0|0|0
San Francisco District 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-120|09/28/2005|0|1|0|0|0|0
San Francisco District Office| 137240|801-65801|ACCESS FUND MANAGEMENT, LLC|ACCESS FUND MANAGEMENT, LLC|44 MONTGOMERY STREET|SUITE 3705|SAN FRANCISCO CA 94104|USA|||  ||HAROLD S. ZLOT|415-399-9500|Limited Liability Company|Other|APPROVED|01/31/2006|0|0|0|0|0|0
San Francisco District Office| 137251|801-65860|EM CAPITAL MANAGEMENT, LLC|EM CAPITAL MANAGEMENT, LLC|61 MORAGA WAY|SUITE 207|ORINDA CA 94563|USA|||  ||ROBERT BELL|858-342-8087|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|01/30/2006|0|0|0|0|0|0
San Francisco District Office| 137364|801-65063|BEACON ROCK CAPITAL PARTNERS LLC|BEACON ROCK CAPITAL PARTNERS LLC|121 SW MORRISON|STE 450|PORTLAND OR 97204|USA|||  ||CHERYL ATHERLY|503 227 6800|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|01/30/2006|0|0|0|0|0|0
San Francisco District Office| 137367|801-65807|VALUEACT CAPITAL|VALUEACT CAPITAL MANAGEMENT, L.P.|435 PACIFIC AVE|4TH FLOOR|SAN FRANCISCO CA 94133|USA|||  ||ALLISON BENNINGTON|415-362-3700|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/02/2006|0|0|0|0|0|0
San Francisco District 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-120|11/18/2005|0|0|0|0|0|0
San Francisco District Office| 137522|801-64905|TWIN LAKES CAPITAL MANAGEMENT, LLC|TWIN LAKES CAPITAL MANAGEMENT, LLC|3 LAGOON DRIVE|SUITE 150|REDWOOD SHORES CA 94065|USA|||  ||MARK G. KIM|(650) 610-9363|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|12/06/2005|0|1|0|0|0|0
San Francisco District 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-120|10/11/2005|0|0|0|0|0|0
San Francisco District Office| 137557|801-65223|CONQUISTADOR VENTURES, LLC|CONQUISTADOR VENTURES, LLC|ONE FERRY BULDING, SUITE 255||SAN FRANCISCO CA 94111|USA|||  ||J. NIEL ARMSTRONG|415-677-1557|Limited Liability Company|Other|APPROVED-120|02/01/2006|0|0|0|0|0|0
San Francisco District Office| 137690|801-64844|SKOPOS ADMINISTRADORA DE RECURSOS LTDA|SKOPOS ADMINISTRADORA DE RECURSOS LTDA|ALAMEDA TOCANTINS|75 10 AND SALA 1009-C|BARUERI, SAO PAULO AK 06455-0200|BRAZIL|AV. JUSCELINO KUBITSCHEK, 1830|TORRE III - 6O ANDAR|SO PAULO  04554900|BRAZIL|PEDRO LUIZ CERIZE|55 11 30783566|Limited Liability Company|Portfolio 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
San Francisco District Office| 137808|801-65015|EXCELCIA FINANCIAL GROUP, LTD.|EXCELCIA FINANCIAL GROUP, LTD.|4675 STEVENS CREEK BOULEVARD|SUITE 110|SANTA CLARA CA 95051|USA|||  ||ERIC C. HOWIE|408-261-3300|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|12/14/2005|0|0|0|0|0|0
San Francisco District 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-120|11/15/2005|0|0|0|0|0|0
San Francisco District Office| 137829|801-64884|MIG CAPITAL MANAGEMENT, LLC|MIG CAPITAL MANAGEMENT, LLC|421 W. RIVERSIDE AVENUE|SUITE 412|SPOKANE WA 99201|USA|||  ||ROBERT J. MARTIN|866-536-1604|Limited Liability Company|Financial planning services, 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|11/18/2005|0|0|0|0|0|0
San Francisco District 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-120|11/29/2005|0|0|0|0|0|0
San Francisco District Office| 137897|801-65032|FINTAN PARTNERS LLC|FINTAN PARTNERS LLC|300 HAMILTON AVE, 4TH FLOOR||PALO ALTO CA 94301|USA|||  ||CHRISTOPHER MONTCLARE|650.617.0227|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 District Office| 137966|801-65997|ALPHA VISION CAPITAL MANAGEMENT LLC|ALPHA VISION CAPITAL MANAGEMENT LLC|4 EMBARCADERO CENTER|32ND FLOOR|SAN FRANCISCO CA 94111|USA|680 NEWPORT CENTER DRIVE|SUITE 250|NEWPORT BEACH CA 92660|UNITED STATES|CHARLES FIELD|(619) 652-5422|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|01/31/2006|0|0|1|0|0|0
San Francisco District Office| 138012|801-64956|7X7 ASSET MANAGEMENT LLC|7X7 ASSET MANAGEMENT LLC|201 CALIFORNIA STREET|SUITE 930|SAN FRANCISCO CA 94111|USA|||  ||DOUGLAS K. LEE|(415) 249-6800|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/29/2005|0|0|0|0|0|0
San Francisco District Office| 138120|801-64938|PLENARY ADVISORS, LLC|PLENARY ADVISORS, LLC|601 W. MAIN AVENUE, SUITE 600||SPOKANE WA 99201-0613|USA|||  ||HAHNERT, DIANE E.|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)|APPROVED|11/25/2005|0|0|0|0|0|0
San Francisco District Office| 138145|801-65469|WHITE RIVER INVESTMENT PARTNERS, LLC|WHITE RIVER INVESTMENT PARTNERS, LLC|2288 UNION STREET||SAN FRANCISCO CA 94123|USA|||  ||SEAN C. WARREN|415-440-1659|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 District Office| 138212|801-65084|PANTERA CAPITAL MANAGEMENT LP|PANTERA CAPITAL MANAGEMENT LP|FOUR EMBARCADERO CENTER|SUITE 3660|SAN FRANCISCO CA 94111|USA|||  ||MIKE TREMMEL|415-869-6604|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/23/2006|0|0|0|0|0|0
San Francisco District 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|Portfolio management for individuals and/or small businesses|APPROVED|01/23/2006|0|0|0|0|0|0
San Francisco District Office| 138289|801-65153|TAMALPAIS ASSET MANAGEMENT L.P.|TAMALPAIS ASSET MANAGEMENT L.P.|3 HARBOR DRIVE|SUITE 204|SAUSALITO CA 94965-1454|USA|||  ||PAUL GIORDANO|415-720-4080|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|01/13/2006|0|0|0|0|0|0
San Francisco District Office| 138347|801-65858|SPECTRUM WEALTHCARE, LLC|SPECTRUM WEALTHCARE, 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 District Office| 138419|801-65126|FAMILY OFFICE ENSEMBLE, LLC|FAMILY OFFICE ENSEMBLE, LLC|1131 20TH AVENUE EAST||SEATTLE WA 98112|USA|||  ||S. JOHN GOODWIN|206-715-3206|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED-120|01/12/2006|0|0|0|0|0|0
San Francisco District Office| 138467|801-65799|ANGLE ASSET MANAGEMENT, LLC|ANGLE ASSET MANAGEMENT, LLC|1150 LOMBARD STREET, #7||SAN FRANCISCO CA 94109|USA|||  ||ERIC ROTHDEUTSCH|(415) 346-5772|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|01/27/2006|0|0|0|0|0|0
San Francisco District Office| 138510|801-65919|COLCHIS CAPITAL MANAGEMENT, LLC|COLCHIS CAPITAL MANAGEMENT, LLC|1 BUSH STREET|12TH FLOOR|SAN FRANCISCO CA 94104|USA|||  ||EDWARD M. CONRADS|(415) 354-2845|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
San Francisco District Office| 138570|801-65133|GREEN STREET CAPITAL MANAGEMENT LLC|GREEN STREET CAPITAL MANAGEMENT LLC|555 MARKET STREET, FLOOR 18||SAN FRANCISCO CA 94105|USA|||  ||HANS W. SCHROEDER|415-538-5735|Limited Liability Company|Other|APPROVED|01/13/2006|0|0|0|0|0|0
San Francisco District Office| 138617|801-65786|ASI INVESTMENTS, LLC|ASI INVESTMENTS, LLC|3468 MOUNT DIABLO BOULEVARD, B#110|SUITE 110|LAFAYETTE CA 94549|USA|||  ||MICHELLE FARMER|925.299.7782|Limited Liability Company|Portfolio 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 District Office| 138626|801-65127|WEBB ASSET MANAGEMENT, INC.|WEBB ASSET MANAGEMENT, INC.|P.O. BOX 28||ROSS CA 94957|USA|||  ||DEREK H. WEBB|(415) 760-3432|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|01/12/2006|0|0|0|0|0|0
San Francisco District Office| 138687|801-65114|DTS GROUP LLC|DTS GROUP LLC|309 SHEFFIELD AVE||MILL VALLEY CA 94941-3860|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-120|01/11/2006|0|0|0|0|0|0
San Francisco District Office| 138725|801-65547|ASCEND PARAGON CAPITAL, LLC|ASCEND PARAGON CAPITAL, LLC|600 MONTGOMERY STREET|37TH FLOOR|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 District Office| 138804|801-65489|PASSPORT MANAGEMENT, LLC|PASSPORT MANAGEMENT, LLC|402 JACKSON STREET||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 District Office| 138813|801-65804|WHITMAN CAPITAL, LLC|WHITMAN CAPITAL, LLC|525 UNIVERSITY AVENUE|SUITE 701|PALO ALTO CA 94301|USA|||  ||ALEXANDER HARDY|650-325-9700|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 District Office| 138873|801-65789|ZEFF HOLDING COMPANY, LLC|ZEFF HOLDING COMPANY, LLC|50 CALIFORNIA STREET|SUITE 1500|SAN FRANCISCO CA 94111|USA|||  ||DANIEL A. ZEFF|(415) 439-5273|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 District Office| 138971|801-65470|CLARIUM CAPITAL MANAGEMENT LLC|CLARIUM CAPITAL MANAGEMENT LLC|555 CALIFORNIA ST STE. 4360||SAN FRANCISCO CA 94104-1501|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|0|0|0|0
San Francisco District Office| 138984|801-65662|TECHNOVISION MANAGEMENT LLC|TECHNOVISION MANAGEMENT LLC|4984 EL CAMINO REAL|SUITE 200|LOS ALTOS CA 94022|USA|||  ||MILIND BEDEKAR|650.335.1005X385|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/14/2006|0|0|0|0|0|0
San Francisco District Office| 138996|801-65946|THOMAS LLOYD-BUTLER CAPITAL MANAGEMENT|THOMAS LLOYD-BUTLER CAPITAL MANAGEMENT|40 HOTALING PLACE|3RD FLOOR|SAN FRANCISCO CA 94111|USA|||  ||THOMAS LLOYD-BUTLER|415-248-5200|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/30/2006|0|0|0|0|0|0
San Francisco District Office| 139025|801-65953|FORT MASON CAPITAL LLC|FORT MASON CAPITAL LLC|456 MONTGOMERY ST. 22ND FLOOR||S.F. CA 94104|USA|||  ||DAN GERMAN|415-249-3382|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 District Office| 139084|801-65814|TRIATTO CAPITAL MANAGEMENT, L.P.|TRIATTO CAPITAL MANAGEMENT, L.P.|201 SPEAR STREET, SUITE 1500||SAN FRANCISCO CA 94105|USA|||  ||JESSE SULLIVAN|(415) 281-6660|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/2006|0|0|0|0|0|0
San Francisco District Office| 139155|801-65920|ACCESS CAPITAL MANAGEMENT|ACCESS CAPITAL MANAGEMENT|100 TAMAL PLAZA, SUITE 106||CORTE MADERA CA 94925|USA|||  ||JOEL YANOWITZ|415-927-7724|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
San Francisco District Office| 139158|801-66183|COGO WOLF ASSET MANAGEMENT, LLC|COGO WOLF ASSET MANAGEMENT, LLC|580 CALIFORNIA STREET|SUITE 1325|SAN FRANCISCO CA 94104|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), Selection of other advisers|APPROVED-120|02/15/2006|0|0|0|0|0|0
San Francisco District Office| 139211|801-66044|GM CAPITAL GROUP, LLC|GM CAPITAL GROUP, LLC|250 MONTGOMERY STREET|SUITE 710|SAN FRANCISCO CA 94104|USA|||  ||LIEF TSAI|415-291-9499|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/20/2006|0|0|0|0|0|0
San Francisco District 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 District Office| 139280|801-66080|FUTURE SELECT PORTFOLIO MANAGEMENT, INC.|FUTURE SELECT PORTFOLIO MANAGEMENT, INC.|2316-216TH PLACE NE||REDMOND WA 98074|USA|||  ||RONALD WARD|425-868-2907|Corporation|Other|APPROVED|02/01/2006|0|0|0|0|0|0
San Francisco District Office| 139282|801-66156|TAHOMA CAPITAL, LLC|TAHOMA CAPITAL, LLC|1100 112TH AVE NE, SUITE 340||BELLEVUE WA 98004-4511|USA|||  ||BART COCALES|425-279-3357|Limited Liability Company|Other|APPROVED-120|02/08/2006|0|0|0|0|0|0
San Francisco District Office| 139313|801-66224|NICKEL CAPITAL|NICKEL CAPITAL ADVISORS, LLC|45 LA VERNE AVE||MILLVALLEY CA 94941|USA|||  ||MARK R. LANGNER|415-994-0557|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED-120|02/23/2006|0|0|0|0|0|0
San Francisco District Office| 139338|801-66211|CRECERA FINANCE MANAGEMENT COMPANY, LLC|CRECERA FINANCE MANAGEMENT COMPANY, LLC|ONE MARITIME PLAZA,|SUITE 1575|SAN FRANCISCO CA 94111|USA|||  ||VICTORIA HOWE|415-392-1304|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/15/2006|0|0|0|0|0|0
San Francisco District 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-120|02/15/2006|0|0|0|0|0|0
San Francisco District Office| 139380|801-66186|SPRINGWATER|SPRINGWATERCAP|24121 SW NEWLAND ROAD||WILSONVILLE OR 97070|USA|||  ||ROBERT UNGER|503-703-8108|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED-120|02/15/2006|0|0|0|0|0|0
San Francisco District 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|360-694-3652|Limited Liability Company|Financial planning services, 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|03/06/2006|0|0|0|0|0|0
Southeast 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|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|2|0|0|0|0
Southeast 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|0|34|1|0|0|0
Southeast 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, Selection of other advisers|APPROVED|12/11/1991|0|25|3|0|0|0
Southeast 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|MICHAEL E. PEARSON|727-567-3074|Corporation|Financial planning services, Portfolio management 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|16|1|0|0|0
Southeast Regional Office|   8096|801-57928|POPULAR SECURITIES, INC.|POPULAR SECURITIES, INC.|POPULAR CENTER, 209 PONCE DE LEON|SUITE 1020|HATO REY PR 00918|USA|||  ||CARLOS GONZLEZ STAWINSKI|787-296-0637|Corporation|Selection of other advisers|APPROVED|09/29/2000|0|0|0|0|0|0
Southeast Regional Office|  12963|801-39736|MONEY CONCEPTS CAPITAL CORP|MONEY CONCEPTS CAPITAL CORP|11440 JOG ROAD||PALM BEACH GARDENS FL 33418-3764|USA|||  ||TERRI WALSH|561-472-2000|Corporation|Financial planning services|APPROVED|10/07/1991|0|4|12|0|0|0
Southeast 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, Other|APPROVED|04/26/1999|0|15|3|0|0|0
Southeast 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|MORIARTY, THOMAS RAYMOND|(727) 299-1837|Corporation|Financial planning 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|8|0|0|0|0
Southeast Regional Office|  16492|801-61371|K.W. BROWN & COMPANY|K.W. BROWN & COMPANY|401 W. LINTON BLVD|SUITE 300|DELRAY BEACH FL 33444|USA|||  ||WENDY 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|08/23/2002|0|1|0|0|0|0
Southeast 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
Southeast Regional Office|  17486|801-63426|G. A. REPPLE & COMPANY|G. A. REPPLE & COMPANY|101 NORMANDY RD. SUITE 101||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
Southeast Regional Office|  17609|801-60636|GUNNALLEN FINANCIAL, INC|GUNNALLEN FINANCIAL, INC|5002 WEST WATERS AVE||TAMPA FL 33634-1313|USA|||  ||KYONG HEE KIM|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), Pension consulting services, Selection of other advisers|APPROVED|11/02/2001|0|16|0|0|0|0
Southeast 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
Southeast Regional Office|  24125|801-33382|BAXTER FINANCIAL CORPORATION|BAXTER FINANCIAL CORPORATION|1200 NORTH FEDERAL HIGHWAY|#424|BOCA RATON FL 33432|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
Southeast Regional Office|  24605|801-34731|CARDINAL CAPITAL MANAGEMENT, INC|CARDINAL CAPITAL MANAGEMENT, INC.|601 BRICKELL KEY DRIVE|SUITE # 102|MIAMI FL 33131|USA|568 YAMATO ROAD|3RD FL|BOCA RATON FL 33431|USA|CHRISTOPHER A. SWEENEY|561-620-8870|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/29/1989|0|3|0|0|0|0
Southeast 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|Financial planning services, Portfolio management for 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
Southeast Regional Office|  30624|801-58144|DBA SESLIA SECURITIES|SESLIA VIRGIN ISLANDS SECURITIES, INC.|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
Southeast Regional Office|  35971|801-13542|DALE K. EHRHART, INC.|DALE K. EHRHART, INC.|101 W VENICE AVE|STE 10|VENICE FL 34285|USA|||  ||GLADYS R. GETTE HARTLEY, ED.D|941-485-8220|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/17/1978|0|0|0|0|0|0
Southeast Regional Office|  40118|801-64860|EFG CAPITAL INTERNATIONAL CORP.|EFG CAPITAL INTERNATIONAL CORP.|777 BRICKELL AVE.|SUITE 1150|MIAMI FL 33131|USA|||  ||ZELAINE RUBIO SANCHEZ|305-777-2404|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/30/2005|0|0|0|0|0|0
Southeast 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
Southeast 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|||  ||TRAVIS W. TUCCILLO|941-483-3732|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|09/15/1995|0|1|0|0|0|0
Southeast 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
Southeast Regional Office|  41835|801-45766|TIMOTHY PARTNERS, LTD.|TIMOTHY PARTNERS, LTD.|1304 W FAIRBANKS AVENUE||WINTER PARK FL 32789|USA|||  ||COVERT, TERRY|407-644-1986|Partnership|Portfolio management for investment companies|APPROVED|02/07/1994|0|0|0|0|0|0
Southeast 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), Selection of other advisers|APPROVED|07/30/2002|0|1|0|0|0|0
Southeast Regional Office|  44848||RK ADVISORS|RK ADVISORS, INC.|6451 NORTH FEDERAL HIGHWAY|STE 1201|FORT LAUDERDALE FL 33308|USA|||  ||BRIAN KOVACK, ESQ.|954-782-4771|Corporation|Financial planning services, 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
Southeast Regional Office| 104534|801-49774|GLOBALVEST MANAGEMENT CO LP|GLOBALVEST MANAGEMENT CO LP|6000 ESTATE CHARLOTTE AMALIE, STE 4||ST. THOMAS VI 00802|USA|P.O. BOX 503210||ST. THOMAS VI 00805|USA|JAMES L. THOMPSON|(340) 775-8037|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|08/14/1995|0|1|2|0|0|0
Southeast Regional Office| 104672|801-29456|PRIVATE CAPITAL MANAGEMENT, LP|PRIVATE CAPITAL MANAGEMENT, LP|8889 PELICAN BAY BOULEVARD, SUITE 500||NAPLES FL 34108-7512|USA|||  ||CHARLES D. ATKINS|(239) 254-2527|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/14/1987|0|1|0|0|0|0
Southeast 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
Southeast 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|APPROVED|07/27/1978|0|4|0|0|0|0
Southeast Regional Office| 104872|801-33360|CHARTER INVESTMENT ADVISORS INC|CHARTER INVESTMENT ADVISORS INC|5956 TURKEY LAKE RD.||ORLANDO FL 32819|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)|APPROVED|12/23/1988|0|0|0|0|0|0
Southeast Regional Office| 104914|801-35294|CHAS. P. SMITH & ASSOCIATES, PA, CPA'S|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
Southeast Regional Office| 104959|801-26603|ECKHOUSE KULMAN & ASSOCIATES INC|ECKHOUSE KULMAN & ASSOCIATES INC|33 SE 7TH STREET|SUITE L|BOCA RATON FL 33432|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
Southeast Regional Office| 105014|801-18610|NATIONAL ADVISORY SERVICE INC|NATIONAL ADVISORY SERVICE INC|840 US HIGHWAY ONE, #100||NORTH PALM BEACH FL 33408|USA|||  ||SUSAN WYCKOFF|800-762-7291|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/16/1983|0|1|0|0|0|0
Southeast 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
Southeast Regional Office| 105145|801-57660|NETWORTH ASSET MANAGEMENT|NETWORTH ASSET MANAGEMENT|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, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/07/2000|0|1|0|0|0|0
Southeast Regional Office| 105261|801-33920|BRUCE BENT ASSOCIATES, INC.|BENT BRUCE ASSOCIATES INC|THE PARAMOUNT BUILDING, 18C|139 N. COUNTY ROAD|PALM BEACH FL 33480|USA|||  ||BENT, BRUCE D|561 655-5183|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|03/24/1989|0|0|0|0|0|0
Southeast 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 businesses or institutional clients (other than investment companies)|APPROVED|06/13/1985|0|0|0|0|0|0
Southeast 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
Southeast Regional Office| 105291|801-18159|FINANCIAL RESOURCES MANAGEMENT CORP|FINANCIAL RESOURCES MANAGEMENT CORP|723 CATHERINE STREET||KEY WEST FL 33040|USA|||  ||FLESZAR, ROXANNE E|305-295-9628|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
Southeast 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
Southeast Regional Office| 105326|801-27723|LBS CAPITAL MANAGEMENT INC|LBS CAPITAL MANAGEMENT INC|311 PARK PLACE BLVD SUITE 330||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
Southeast 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|1|0|0|0|0
Southeast Regional Office| 105397|801-14090|PROFESSIONAL ADVISORY SERVICES INC|PROFESSIONAL ADVISORY SERVICES INC|2770 INDIAN RIVER BLVD|SUITE 204|VERO BEACH FL 32960|USA|||  ||BIEBER, CAROL LIGON|772-778-0552|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|10/11/1978|0|0|0|0|0|0
Southeast Regional Office| 105564|801-20962|ST JOHNS INVESTMENT MANAGEMENT CO|ST JOHNS INVESTMENT MANAGEMENT CO|1301 RIVERPLACE BLVD|STE 2530|JACKSONVILLE FL 32207|USA|||  ||CARRIE B. JONES|904-399-0662|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/28/1984|0|1|1|0|0|0
Southeast 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
Southeast Regional Office| 105714|801-29339|B.R. CHAMBERLAIN & SONS, INC.|B.R. CHAMBERLAIN & SONS, INC.|2731 S. MAGUIRE RD||OCOEE FL 34761|USA|||  ||DR. PETER L. CHAMBERLAIN|407-656-2252|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
Southeast Regional Office| 105720|801-32146|RESOURCE CONSULTING GROUP|RESOURCE CONSULTING GROUP INC|301 E. PINE STREET, SUITE 300||ORLANDO FL 32801|USA|||  ||PRIZER, JOHN M., JR.|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
Southeast Regional Office| 105801|801-23187|AUGUSTINE ASSET MANAGEMENT INC|AUGUSTINE ASSET MANAGEMENT INC|3740 BEACH BLVD|SUITE 307|JACKSONVILLE FL 32207-3819|USA|||  ||WILLIAMSON, KIMBERLY|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
Southeast Regional Office| 105823|801-34908|KATHLEEN DAY & ASSOCIATES, INC.|KATHLEEN DAY & ASSOCIATES, INC.|7355 SW 87TH AVE|STE 300|MIAMI FL 33173|USA|||  ||DAY, KATHLEEN|(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
Southeast 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
Southeast 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
Southeast 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
Southeast Regional Office| 105923|801-38841|CHARLES D. HYMAN & COMPANY|CHARLES D. HYMAN & COMPANY|4300 MARSH LANDING BLVD|SUITE 201|JACKSONVILLE BEACH FL 32250|USA|||  ||HYMAN, CHARLES D|904-543-0360|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|05/10/1991|0|0|0|0|0|0
Southeast Regional Office| 105955|801-15844|MOWELL FINANCIAL GROUP, NA|MOWELL FINANCIAL GROUP NA CORP|407 EAST 6TH AVENUE||TALLAHASSEE FL 32303|USA|P.O.BOX 4168||TALLAHASSEE FL 32315|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
Southeast 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
Southeast 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
Southeast 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
Southeast Regional Office| 106038|801-23136|21TH CENTURY ADVISORS INC|21ST CENTURY ADVISORS INC|401 WEST LINTON BLVD. SUITE 300||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|0|0|0|0
Southeast Regional Office| 106039|801-46059|HANSBERGER GLOBAL INVESTORS, INC.|HANSBERGER GLOBAL INVESTORS, INC.|401 EAST LAS OLAS BOULVARD|SUITE 1700|FORT LAUDERDALE FL 33301|USA|||  ||J. CHRISTOPHER JACKSON|(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|0|0|0|0|0
Southeast Regional Office| 106093|801-15180|POLEN CAPITAL MANAGEMENT, INC.|POLEN CAPITAL MANAGEMENT, INC.|2700 N. MILITARY TRAIL|SUITE 230|BOCA RATON FL 33431|USA|||  ||STANLEY C. MOSS|561-241-2425|Corporation|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
Southeast Regional Office| 106130|801-31473|CAMPBELL CAPITAL MANAGEMENT INC|CAMPBELL CAPITAL MANAGEMENT INC|9400 S DADELAND BLVD|STE 111|MIAMI FL 33156|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
Southeast 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
Southeast 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
Southeast 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|847 217 6172|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/19/1983|0|0|0|0|0|0
Southeast Regional Office| 106245|801-51822|CFSE WEALTH MANAGEMENT, INC.|CFSE 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
Southeast 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
Southeast 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
Southeast Regional Office| 106347|801-46248|WOOD ASSET MANAGEMENT INC|WOOD ASSET MANAGEMENT INC|TWO NORTH TAMIAMI TRAIL|STE 1200|SARASOTA FL 34236|USA|||  ||WOOD, GARY W|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
Southeast Regional Office| 106363|801-41282|MONEY STRATEGIES INC|MONEY STRATEGIES INC|2909 WEST NEW HAVEN AVENUE||WEST MELBOURNE FL 32904|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
Southeast Regional Office| 106366|801-40397|FIRESTONE CAPITAL MANAGEMENT INC|FIRESTONE CAPITAL MANAGEMENT INC|1500 SAN REMO AVENUE|SUITE 176|CORAL GABLES FL 33146|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
Southeast 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
Southeast Regional Office| 106437|801-49446|MCPHERSON INVESTMENT ADVISORS|MCPHERSON RICHARD CHARLES|7 LITTLE PRINCESSE HILL ROAD||CHRISTIANSTED ST CROIX VI 00820|USA|P.O. BOX 981||CHRISTIANSTED, ST. CROIX VI 00821-0981|USA|MCPHERSON, RICHARD CHARLES|340-773-6033|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|06/26/1995|0|0|0|0|0|0
Southeast Regional Office| 106445|801-38344|SINGER XENOS WEALTH MANAGEMENT|SINGER & XENOS INC|800 DOUGLAS RD|SUITE 750|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
Southeast 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
Southeast Regional Office| 106532|801-47251|INVESTOR SOLUTIONS, INC.|MANAGED ACCOUNT SERVICES INC|3250 MARY STREET|SUITE 207|COCONUT GROVE FL 33133|USA|||  ||KARLA P. ARGUELLO|305-443-3339|Corporation|Financial 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|08/19/1994|0|0|0|0|0|0
Southeast 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, Selection of other advisers|APPROVED|01/30/1987|0|0|0|0|0|0
Southeast Regional Office| 106611|801-31635|DAVID W. TICE & ASSOCIATES, LLC|DAVID W. TICE & ASSOCIATES, LLC|43-46 NORRE GADE SUITE 137||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 individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/11/1988|0|0|0|0|0|0
Southeast Regional Office| 106640|801-33726|WEISS CAPITAL MANAGEMENT, INC.|WEISS CAPITAL MANAGEMENT, INC.|7111 FAIRWAY DR|SUITE 102|PALM BEACH GARDENS FL 33418|USA|||  ||LESLIE-ANNE MOORE|561-515-8558, EXT 15108|Corporation|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|01/19/1989|1|5|0|0|0|0
Southeast 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, Other|APPROVED|01/25/1994|0|0|0|0|0|0
Southeast 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
Southeast Regional Office| 106773|801-52020|ADVANCED INVESTMENT PARTNERS|ADVANCED INVESTMENT PARTNERS, LLC|311 PARK PL BLVD|SUITE 250|CLEARWATER FL 33759-3977|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
Southeast 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
Southeast 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
Southeast 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
Southeast Regional Office| 106963|801-42531|HOWLAND AND ASSOCIATES, LLC|HOWLAND AND ASSOCIATES, LLC|16025 N. FLORIDA AVENUE||LUTZ FL 33549|USA|P.O. BOX 341976||TAMPA FL 33694|USA|HOWLAND, D. S.|813-908-3871|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/13/1992|0|0|0|0|0|0
Southeast Regional Office| 107117|801-39197|CNL FUND ADVISORS COMPANY|CNL FUND ADVISORS COMPANY|450 SOUTH ORANGE AVENUE|13TH FLOOR|ORLANDO FL 32801|USA|P.O. BOX 4920||ORLANDO FL 32802-4920|USA|KAMAL JAFARNIA|407-650-1000|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|06/19/1991|0|0|0|0|0|0
Southeast 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
Southeast 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
Southeast 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
Southeast Regional Office| 107317|801-40319|COMPASS ADVISORS, LLC|COMPASS ADVISORS, LLC|ESPIRITO SANTO PLAZA, 1395 BRICKELL AVENUE|EIGHTH FLOOR|MIAMI FL 33131|USA|1125 NW COUCH STREET|EIGHTH FLOOR|PORTLAND OR 97209|USA|MOLLY A. MCQUEEN|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
Southeast Regional Office| 107332|801-50347|MERCATOR ASSET MANAGEMENT LP|MERCATOR ASSET MANAGEMENT LP|5200 TOWN CENTER CIRCLE|SUITE 550|BOCA RATON FL 33486|USA|||  ||VICTORIA BERNS|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
Southeast Regional Office| 107376|801-53319|TRANSAMERICA FUND ADVISORS, INC.|TRANSAMERICA FUND ADVISORS, INC.|570 CARILLON PKWY||ST PETERSBURG FL 33716|USA|||  ||CARTER, JOHN KINNLEY|727-299-1824|Corporation|Portfolio management for investment companies, Selection of other advisers|APPROVED|12/31/1996|0|1|0|0|0|0
Southeast Regional Office| 107483|801-41259|CRYSTAL ASSOCIATES|CRYSTAL ASSOCIATES|1111 KANE CONCOURSE|STE 310|BAY HARBOR ISLANDS FL 33154-2041|USA|||  ||MARK FITZPATRICK|305-867-7555|Limited Liability Partnership|Other|APPROVED|04/13/1992|0|0|0|0|0|0
Southeast Regional Office| 107522|801-41473|STEINBERG GLOBAL ASSET MANAGEMENT LTD|STEINBERG GLOBAL ASSET MANAGEMENT LTD|5200 TOWN CENTER CIRCLE|SUITE 306|BOCA RATON FL 33486|USA|||  ||RICHARD D. STEINBERG|561-750-0800|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|05/12/1992|0|0|0|0|0|0
Southeast Regional Office| 107608|801-49948|SAGE CAPITAL MANAGEMENT, LLC|SAGE CAPITAL MANAGEMENT, LLC|665 SOUTH ORANGE AVENUE|SUITE 1A|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
Southeast 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
Southeast 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|||  ||ANGELA PARRISH|813-636-3070|Corporation|Pension consulting services, Selection of other advisers, Other|APPROVED|10/09/1986|0|1|0|0|0|0
Southeast 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
Southeast Regional Office| 107833|801-57664|CPA ASSET MANAGEMENT GROUP, LLC|CPA ASSET MANAGEMENT GROUP, LLC|215 5TH STREET, SUITE 200||WEST PALM BEACH FL 33401|USA|P.O. BOX 347||WEST PALM BEACH FL 33402|USA|MARK B. ELHILOW|561-659-9030|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
Southeast Regional Office| 107885|801-57517|WELCH & ASSOCIATES, INC.|WELCH & ASSOCIATES, INC.|8830 S. TAMIAMI TRAIL, SUITE 140||SARASOTA FL 34238|USA|||  ||ANTHONY W. WELCH, SR.|941-918-2777|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/21/2000|0|0|0|0|0|0
Southeast Regional Office| 107935|801-56946|EMERALD ASSET ADVISORS LLC|EMERALD ASSET ADVISORS LLC|2843 EXECUTIVE PARK DRIVE||WESTON FL 33331|USA|||  ||ROBERT A. ISBITTS|954-385-9624|Limited Liability Company|Financial planning 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|09/24/2003|0|0|0|0|0|0
Southeast 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
Southeast Regional Office| 107981|801-57639|NORTHSTAR CAPITAL MANAGEMENT INC|NORTHSTAR CAPITAL MANAGEMENT INC|3801 PGA BLVD|SUITE 904|PALM BEACH GARDENS FL 33410|USA|||  ||MARGARET R. ROGERS|561-775-5880 X214|Corporation|Portfolio 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
Southeast 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|BRIAN RESCHKE|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
Southeast 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
Southeast Regional Office| 108058|801-55231|J L BAINBRIDGE % COMPANY, INC.|J L BAINBRIDGE % COMPANY, INC.|1582 MAIN STREET||SARASOTA FL 34236|USA|||  ||JERRY 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
Southeast 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
Southeast 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
Southeast Regional Office| 108263|801-57781|GUGGENHEIM INVESTMENT ADVISORS, LLC|GUGGENHEIM INVESTMENT ADVISORS, LLC|1111 BRICKELL AVENUE|SUITE 2802|MIAMI FL 33131|USA|||  ||ARTURO LASK|305-373-8033|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
Southeast Regional Office| 108289|801-62262|SUNCOAST EQUITY MANAGEMENT, INC.|SUNCOAST EQUITY MANAGEMENT, INC.|14502 NORTH DALE MABRY|SUITE 200|TAMPA FL 33618|USA|||  ||JOWDY, DONALD ROBERT|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
Southeast Regional Office| 108318|801-56958|UTENDAHL CAPITAL MANAGEMENT CFI LLC|UTENDAHL CAPITAL MANAGEMENT CFI LLC|201 E. PINE STREET|SUITE 825|ORLANDO FL 32801|USA|||  ||PAUL A. LIEBERMAN|212-612-9039|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/28/1999|0|1|0|0|0|0
Southeast Regional Office| 108337|801-33176|EBER CAPITAL MANAGEMENT|EBER STEVEN L|2801 PONCE DE LEON BLVD|SUITE 1160|CORAL GABLES FL 33134|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
Southeast 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
Southeast 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
Southeast Regional Office| 108426|801-24583|WILLIAMS D GARY & CO|WILLIAMS DON GARY|8825 PERIMETER PARK BLVD.|SUITE 304|JACKSONVILLE FL 32216|USA|||  ||GARY WILLIAMS|904-996-7800|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/19/1985|0|0|0|0|0|0
Southeast 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|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/28/1994|0|0|0|0|0|0
Southeast Regional Office| 108530|801-56857|AMERICAN FINANCIAL ADVISORS INC|AMERICAN FINANCIAL ADVISORS INC|3361 ROUSE ROAD, SUITE 135||ORLANDO FL 32817|USA|||  ||L. KELLY B. AUSLANDER|407-207-9006|Corporation|Financial planning services, Selection of other advisers|APPROVED|09/27/1999|0|0|0|0|0|0
Southeast Regional Office| 108540|801-42402|AV ADVISORS LLC|AV ADVISORS LLC|255 ALHAMBRA CIRCLE|SUITE 1100|CORAL GABLES FL 33134|USA|||  ||AGNES ARCIA|305-569-9500|Limited Liability Company|Pension consulting services|APPROVED|10/29/1992|0|0|0|0|0|0
Southeast 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
Southeast Regional Office| 108553|801-56494|WILMINGTON TRUST FSB|WILMINGTON TRUST FSB|2000 PGA BOULEVARD|SUITE 4400|NORTH PALM BEACH FL 33408|USA|||  ||DEBORAH ANN POTTER|(302) 651-1248|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, Security ratings or pricing services|APPROVED|05/27/1999|0|0|0|0|0|0
Southeast 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
Southeast Regional Office| 108640|801-55611|HAISMAN WEALTH MANAGEMENT, INC.|HAISMAN WEALTH MANAGEMENT, INC.|6830 PORTO FINO CIRCLE|SUITE ONE|FORT MYERS FL 33912|USA|||  ||BARBARA HEERLYN|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, Publication of periodicals or newsletters|APPROVED|06/02/1998|0|0|0|0|0|0
Southeast 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
Southeast 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. LUBITZ|305 670 4440|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/16/1999|0|0|0|0|0|0
Southeast Regional Office| 108657|801-56794|EXCALIBUR ADVISERS|EXCALIBUR ADVISERS|2400 EAST COMMERCIAL BLVD.|SUITE 719|FT. LAUDERDALE FL 33308|USA|||  ||MICHAEL BURNICK|954-489-4797|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|08/24/1999|0|0|0|0|0|0
Southeast Regional Office| 108682|801-57171|SDR INVESTMENT MANAGEMENT, INC.|SDR INVESTMENT MANAGEMENT, INC.|1110 DOUGLAS AVENUE|SUITE 2000|ALTAMONTE SPRINGS FL 32714|USA|||  ||MICHAEL A. MERBACH|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|5|0|0|0|0
Southeast 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
Southeast 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
Southeast 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
Southeast 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
Southeast Regional Office| 108816|801-55443|FIRST COAST ASSET MANAGEMENT CO INC|FIRST COAST ASSET MANAGEMENT CO INC|4901 ATLANTIC BLVD||JACKSONVILLE FL 32207|USA|||  ||LESLIE LASHLEY|(904) 791-9223|Corporation|Financial planning services, Market timing services|APPROVED|04/09/1998|0|0|0|0|0|0
Southeast 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
Southeast Regional Office| 108850|801-57423|GREAT COMPANIES LLC|GREAT COMPANIES LLC|635 COURT STREET|SUITE 100|CLEARWATER FL 33756-5512|USA|||  ||ANDREW BUTTE|727-953-1701|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/14/2000|1|1|0|0|0|0
Southeast Regional Office| 108998|801-56818|FINANCIAL TRUST ASSET MANAGEMENT CHARTERED|FINANCIAL TRUST ASSET MANAGEMENT CHARTERED|5200 TOWN CENTER CIRCLE|SUITE 306|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|APPROVED|08/31/1999|0|0|0|0|0|0
Southeast Regional Office| 109011|801-57738|INVESTACORP ADVISORY SERVICES INC|INVESTACORP ADVISORY SERVICES INC|15450 NEW BARN ROAD||MIAMI LAKES FL 33014|USA|||  ||DAVID M. RAPPAPORT|(305)828-2888|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|07/14/2000|0|3|0|0|0|0
Southeast Regional Office| 109030|801-55770|DERIVATIVE CONSULTING GROUP LLC|DERIVATIVE CONSULTING GROUP LLC|53A COMPANY STREET|2ND FLOOR|CHRISTIANSTED VI 00820|USA|||  ||KRISTINE MAR|(340) 712-2644|Limited Liability Company|Other|APPROVED|09/30/1998|0|1|0|0|0|0
Southeast Regional Office| 109079|801-55841|RIVERPLACE CAPITAL MANAGEMENT INC|RIVERPLACE CAPITAL MANAGEMENT INC|1301 RIVERPLACE BLVD|SUITE 2130|JACKSONVILLE FL 32207|USA|8141 EAST KAISER BOULEVARD|SUITE 300|ANAHEIM HILLS CA 92808|USA|C. RONALD BELTON|904-346-3460|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|09/02/1998|0|0|0|0|0|0
Southeast Regional Office| 109278|801-56752|ASSET MANAGEMENT ADVISORS LLC|ASSET MANAGEMENT ADVISORS LLC|3801 PGA BLVD.|SUITE 555|PALM BEACH GARDENS FL 33410|USA|||  ||ROBERT HILLE|407-581-6913|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|08/05/1999|0|2|0|0|0|0
Southeast 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
Southeast 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
Southeast 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
Southeast Regional Office| 109368|801-56201|CRAFUND ADVISORS INC|CRAFUND ADVISORS INC.|1830 MAIN STREET|SUITE 204|WESTON FL 33326|USA|||  ||BARBARA VANSCOY|954-217-7999|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/03/1999|0|0|1|0|0|0
Southeast 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 investment companies, 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
Southeast Regional Office| 109419|801-55992|SPRAKER, FITZGERALD, TAMAYO & MOISAND, LLC|SPRAKER, FITZGERALD, TAMAYO & MOISAND, LLC|601 SOUTH LAKE DESTINY ROAD|SUITE 165|MAITLAND FL 32751-7482|USA|||  ||SUSAN S. SPRAKER|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
Southeast Regional Office| 109444|801-56751|LIGHTHOUSE PARTNERS LLC|LIGHTHOUSE PARTNERS LLC|3801 PGA BLVD|SUITE 500|PALM BEACH GARDENS FL 33410|USA|||  ||J. SCOTT PERKINS|561-741-0820|Limited Liability Company|Other|APPROVED|07/01/1999|0|1|0|0|0|0
Southeast 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
Southeast 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|6|0|0|0|0
Southeast 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|R. FENN GILES, JR.|813-872-1239|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/09/1998|0|0|0|0|0|0
Southeast 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|||  ||THOMAS M NOLAN|561-686-6844|Corporation|Portfolio management for individuals and/or small businesses, Other|APPROVED|11/09/2000|0|0|0|0|0|0
Southeast 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
Southeast 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
Southeast Regional Office| 109618|801-58009|DRIEHAUS CAPITAL MANAGEMENT (USVI) LLC|DRIEHAUS CAPITAL MANAGEMENT (USVI) LLC|THE TUNICK BUILDING|1336 BELTJEN ROAD, SUITE 201|ST. THOMAS VI 00802|USA|||  ||DALE PUDRYCKI|340-715-6007|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/02/2000|0|0|0|0|0|0
Southeast 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
Southeast Regional Office| 109698|801-60104|EVENSKY & KATZ, INC.|EVENSKY & KATZ, INC.|2333 PONCE DE LEON BOULEVARD|SUITE 1100|CORAL GABLES FL 33134|USA|||  ||MENA BIELOW|305 448 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|APPROVED|04/04/2001|0|0|0|0|0|0
Southeast Regional Office| 109869|801-60025|TBK INVESTMENTS, INC.|TBK INVESTMENTS, INC.|1200 BRICKELL AVENUE|SUITE 510|MIAMI FL 33131|USA|||  ||SANTIAGO ULLOA|(305) 825-2225|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|02/14/2001|0|0|0|0|0|0
Southeast Regional Office| 109919|801-47164|CANTERBURY INVESTMENT GROUP INC.|CANTERBURY INVESTMENT GROUP INC.|5905 S. CONGRESS AVENUE||ATLANTIS FL 33462|USA|||  ||ROBERT W. BRUDERMAN|561-432-4144|Corporation|Financial planning services, 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
Southeast Regional Office| 110004|801-48175|MATADOR CAPITAL MANAGEMENT CORP|MATADOR CAPITAL MANAGEMENT CORP|200 FIRST AVE NORTH SUITE 203||ST PETERSBURG FL 33701|USA|||  ||DAVID FINK|727-898-9300|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/13/1995|0|0|0|0|0|0
Southeast 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
Southeast 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 SIERRA|561 278-7862|Other (specify)|Portfolio management for individuals and/or small businesses|APPROVED|09/19/1983|0|0|0|0|0|0
Southeast 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|||  ||MELISSA HOLDCRAFT|407-644-0111|Corporation|Pension consulting services, Selection of other advisers|APPROVED|05/23/1988|0|0|0|0|0|0
Southeast 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
Southeast Regional Office| 110237|801-57008|TRADEMARK CAPITAL MANAGEMENT INC|TRADEMARK CAPITAL MANAGEMENT INC|5328 TROUBLE CREEK RD||NEW PORT RICHEY FL 34652|USA|||  ||STEVE ATHANASSIE|727-848-8950|Corporation|Financial planning 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
Southeast Regional Office| 110248|801-43372|EDMP INC|EDMP 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
Southeast 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
Southeast Regional Office| 110498|801-41951|HARCH CAPITAL MANAGEMENT INC.|HARCH CAPITAL MANAGEMENT INC.|ONE PARK PLACE, 621 N.W. 53RD STREET|SUITE 620|BOCA RATON FL 33487|USA|||  ||MICHAEL E. LEWITT|(561) 995 4900|Corporation|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|08/12/1992|0|0|0|0|0|0
Southeast Regional Office| 110635|801-57877|ALEXANDER READ INVESTMENT MANAGEMENT, INC.|ALEXANDER READ INVESTMENT MANAGEMENT, INC.|1977 DUNDEE DRIVE||WINTER PARK FL 32792|USA|||  ||VICKY C. MILLER|(407) 629-2746|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|08/21/2000|0|0|0|0|0|0
Southeast 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
Southeast Regional Office| 110786|801-28247|BARRY FINANCIAL GROUP INC|BARRY FINANCIAL GROUP INC|40 SE 5TH STREET|SUITE 600|BOCA RATON FL 33432|USA|||  ||JAMES A. BARRY, JR.|(561) 368-9120|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|11/10/1986|0|0|5|0|0|0
Southeast Regional Office| 110819|801-49934|NOESIS CAPITAL MANAGEMENT CORP|NOESIS CAPITAL MANAGEMENT CORP|1801 CLINT MOORE ROAD|SUITE 100|BOCA RATON FL 33487|USA|||  ||JEREMIAH SPITZBERG|(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
Southeast Regional Office| 110848|801-56329|HS DENT ADVISORS INC|HS DENT ADVISORS INC|1881 WASHINGTON AVENUE|PENTHOUSE|MIAMI BEACH FL 33139|USA|309 S. JUPITER ROAD|SUITE 200|ALLEN TX 75002|USA|HARRY S. DENT, JR.|305-531-0207|Corporation|Portfolio management for investment companies|APPROVED|03/18/1999|0|0|0|0|0|0
Southeast Regional Office| 110904|801-26103|CICCARELLI ADVISORY SERVICES INC|CICCARELLI ADVISORY SERVICES INC|3066 TAMIAMI TRAIL NORTH|STE 202|NAPLES FL 34103|USA|||  ||KIM CICCARELLI KANTOR|239-262-6577|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
Southeast 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
Southeast Regional Office| 111044|801-56525|CPA WEALTH MANAGEMENT SERVICES PA|CPA WEALTH MANAGEMENT SERVICES PA|215 BAYTREE DR||MELBOURNE FL 32940|USA|||  ||MAUREEN WOODALL|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
Southeast 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
Southeast Regional Office| 111218|801-49678|COSTA FINANCIAL GROUP, INC.|COSTA FINANCIAL GROUP, INC.|6699 NORTH FEDERAL HIGHWAY, SUITE 103||BOCA RATON FL 33487|USA|||  ||SHANNON DODSON|(561) 988-2180|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Security ratings or pricing services|APPROVED|07/21/1995|0|0|0|0|0|0
Southeast 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
Southeast 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|0|0|0|0
Southeast Regional Office| 111388|801-56788|FOUNDING PARTNERS CAPITAL MANAGEMENT COMPANY|FOUNDING PARTNERS CAPITAL MANAGEMENT COMPANY|5100 NORTH TAMIAMI TRAIL, SUITE 119|NEWGATE CENTER|NAPLES FL 34103|USA|||  ||WILLIAM L. GUNLICKS|239-514-2900|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|08/20/1999|0|0|0|0|0|0
Southeast 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
Southeast 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), Pension consulting services, Selection of other advisers|APPROVED|05/18/2001|0|0|0|0|0|0
Southeast Regional Office| 111543|801-57324|LEVITT CAPITAL MANAGEMENT LLC|LEVITT CAPITAL MANAGEMENT LLC|101 N. FEDERAL HIGHWAY|SUITE 700|BOCA RATON FL 33432|USA|||  ||NIKOL E. GONZALEZ|561-893-9901|Limited Liability Company|Other, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/06/2000|0|0|0|0|0|0
Southeast 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 investment companies, 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
Southeast Regional Office| 111727|801-40331|LAMCO ADVISORY SERVICES INC.|LAMCO ADVISORY SERVICES INC.|300 PRIMERA BOULEVARD|SUITE 164|LAKE MARY FL 32746|USA|||  ||MARK LAMORIELLO|407-585-1160|Corporation|Pension consulting services, Selection of other advisers|APPROVED|12/27/1991|0|1|0|0|0|0
Southeast 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|APPROVED|08/30/1999|0|0|0|0|0|0
Southeast 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
Southeast Regional Office| 111855|801-58175|KOSS-OLINGER CONSULTING, INC.|KOSS-OLINGER CONSULTING, INC.|2700-A NW 43RD STREET||GAINESVILLE FL 32606|USA|||  ||CHARLES W. ANCHORS, JR.|352-373-3337|Corporation|Portfolio management for individuals and/or small businesses, Financial planning services, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/24/2000|0|0|0|0|0|0
Southeast Regional Office| 111964|801-58253|BOGDAHN CONSULTING, LLC.|BOGDAHN CONSULTING, LLC.|340 WEST CENTRAL AVENUE|SUITE 300|WINTER HAVEN FL 33880|USA|||  ||JOSEPH RICHARD BOGDAHN|863-293-8289|Limited Liability Company|Pension consulting services, Other|APPROVED|01/10/2001|0|0|0|0|0|0
Southeast Regional Office| 112002|801-57650|ZUCKERMAN MANAGEMENT ASSOCIATES, INC.|ZUCKERMAN MANAGEMENT ASSOCIATES, INC.|801 41ST STREET|SUITE #210|MIAMI BEACH FL 33140|USA|||  ||MATTHEW M. ZUCKERMAN|305-695-2848|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Other|APPROVED|06/02/2000|0|0|0|0|0|0
Southeast 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
Southeast Regional Office| 112083|801-38667|DEIGHAN FINANCIAL ADVISORS|DEIGHAN DANIEL PATRICK|47 W NEW HAVEN AVE STE 200||MELBOURNE FL 32901|USA|||  ||CONNIE J. SMITH|321-728-3888|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|04/19/1991|0|0|0|0|0|0
Southeast 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|||  ||VICTOR A. ZOLLO, JR.|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
Southeast Regional Office| 112106|801-32471|AYRES FINANCIAL ADVISORS, LLC|AYRES FINANCIAL ADVISORS, LLC|800 LAUREL OAK DR|SUITE 611|NAPLES FL 34108|USA|||  ||ROBERT B. AYRES|1-239-597-3010|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|07/21/1988|0|0|0|0|0|0
Southeast Regional Office| 112221|801-57604|PRS LATAM LLC|PRS LATAM LLC|801 BRICKELL AVE STE 1600||MIAMI FL 33131-2945|USA|||  ||JOHN S. SULLIVAN|(305)381-8340|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies|APPROVED|06/09/2000|0|1|0|0|0|0
Southeast 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|||  ||JOHN S. SULLIVAN|(305)381-8340|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies|APPROVED|09/09/1988|0|1|0|0|0|0
Southeast 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|941-484-6107|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Other|APPROVED|05/31/2001|0|3|3|0|0|0
Southeast Regional Office| 112294|801-60722|JONATHAN ROBERTS ADVISORY GROUP, INC.|JONATHAN ROBERTS ADVISORY GROUP, INC.|3550 BUSCHWOOD PARK DR. STE. 135||TAMPA FL 33618|USA|||  ||JOHN CARLSON|(813)935-6779|Corporation|Financial planning services, 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
Southeast Regional Office| 112322|801-61061|REAL ESTATE MANAGEMENT SERVICES GROUP, LLC|REAL ESTATE MANAGEMENT SERVICES GROUP, LLC|1100 FIFTH AVENUE SOUTH, SUITE 301||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
Southeast Regional Office| 112392|801-25067|HERITAGE ASSET MANAGEMENT INC|HERITAGE ASSET MANAGEMENT INC|880 CARILLON PKWY||ST PETERSBURG FL 33716|USA|||  ||MATHEW J. CALABRO|727-567-8143|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/29/1985|0|0|0|0|0|0
Southeast 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
Southeast 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, Other|APPROVED|03/07/2000|0|0|0|0|0|0
Southeast 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), Pension consulting services|APPROVED|03/05/2004|0|0|0|0|0|0
Southeast Regional Office| 112634|801-56835|GIBRALTAR BANK, FSB|GIBRALTAR BANK, FSB|220 ALHAMBRA CIRCLE|EIGHT FLOOR|CORAL GABLES FL 33134|USA|||  ||TONY CARON|305-476-5502|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/05/1999|0|0|1|0|0|0
Southeast Regional Office| 112746|801-37271|LLOYD I. MILLER (THIS IS NOT A CHANGE/WAS AN ERROR ON FORM|MILLER LLOYD IVAN III|4550 GORDON DRIVE||NAPLES FL 34102-7914|USA|||  ||ROBYN TUPPER|239-263-8860|Sole Proprietorship|Other|APPROVED|08/30/1990|0|0|0|0|0|0
Southeast 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
Southeast Regional Office| 112938|801-57065|NOBLE CAPITAL MANAGEMENT, INC.|NOBLE CAPITAL MANAGEMENT, INC.|6501 CONGRESS AVENUE|SUITE 100|BOCA RATON FL 33487|USA|||  ||NICOLAAS P. PRONK|561-994-1191|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|12/20/1999|0|4|1|0|0|0
Southeast 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
Southeast Regional Office| 112983|801-60258|THE PALMER KNIGHT COMPANY|THE PALMER KNIGHT COMPANY|2970 ST. JOHNS AVENUE|SUITE 8A|JACKSONVILLE FL 32205|USA|||  ||A. PALMER KNIGHT|904 389-0761|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
Southeast Regional Office| 113000|801-50609|LJH GLOBAL INVESTMENTS, LLC|LJH GLOBAL INVESTMENTS, LLC|2640 GOLDEN GATE PARKWAY|SUITE 205|NAPLES FL 34105|USA|||  ||HOLLY HOGAN|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), Publication of periodicals or newsletters|APPROVED|11/07/1995|0|0|0|0|0|0
Southeast Regional Office| 113011|801-22363|G.G. BRAUER, INC.|G.G. BRAUER, INC.|5555 CENTRAL AVENUE||ST.PETERSBURG FL 33710|USA|||  ||ANN VALENTE|727 343-7878|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Market timing services|APPROVED|10/16/1984|0|1|0|0|0|0
Southeast 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|APPROVED|04/14/2000|0|0|0|0|0|0
Southeast 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), Selection of other advisers|APPROVED|06/19/2001|0|0|0|0|0|0
Southeast 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
Southeast 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
Southeast Regional Office| 113636|801-61996|MIKUS CAPITAL MANAGEMENT, INC.|MIKUS CAPITAL MANAGEMENT, INC.|220 OCEAN TERRACE||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), Selection of other advisers|APPROVED|04/24/2003|0|0|0|0|0|0
Southeast Regional Office| 113776|801-40965|BAY CAPITAL, REGISTERED INVESTMENT ADVISOR|STEPHEN M. COOPER|3351 W. BEARSS AVENUE||TAMPA FL 33618-2100|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
Southeast Regional Office| 113784|801-61028|CAMARDA FINANCIAL ADVISORS,INC.|CAMARDA FINANCIAL ADVISORS,INC.|418 KINGSLEY AVENUE||ORANGE PARK FL 32073|USA|||  ||KIMBERLY K. CAMARDA|904-278-1177|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|04/02/2002|0|0|0|0|0|0
Southeast Regional Office| 113833|801-29099|SLAVIC MUTUAL FUNDS MANAGEMENT CORP.|SLAVIC MUTUAL FUNDS MANAGEMENT CORP.|5400 BROKEN SOUND BLVD. NW|SUITE 500|BOCA RATON FL 33487-3519|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
Southeast 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
Southeast Regional Office| 113982|801-61033|STRATEGIC WEALTH MANAGEMENT GROUP, INC.|STRATEGIC WEALTH MANAGEMENT GROUP, INC.|701 COLORADO AVE.||STUART FL 34994|USA|||  ||GERALD MEHLICH|772-283-7444|Corporation|Financial planning 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|04/12/2002|0|0|0|0|0|0
Southeast 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
Southeast 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
Southeast 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|||  ||MARGARET POTRUSKI|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|APPROVED|07/26/2002|0|0|0|0|0|0
Southeast Regional Office| 115097|801-55016|OPCAP PUERTO RICO CORPORATION|OPCAP PUERTO RICO CORPORATION|268 MUNOZ RIVERA AVENUE STE 404|WESTERNBANK WORLD PLAZA|SAN JUAN PR 00918|USA|||  ||MANUEL E. SARMIENTO|787-764-7856|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/23/1998|0|0|0|0|0|0
Southeast Regional Office| 115344|801-60690|WERTZ YORK CAPITAL MANAGEMENT GROUP, LLC|WERTZ YORK CAPITAL MANAGEMENT GROUP, LLC|3434 COLWELL AVENUE|SUITE 100|TAMPA FL 33614|USA|||  ||MITCHELL P. YORK|813-932-2750|Limited Liability Company|Portfolio management for investment companies|APPROVED|11/23/2001|0|0|0|0|0|0
Southeast Regional Office| 115412|801-60771|CAPITAL MANAGEMENT GROUP|CMG CAPITAL MANAGEMENT, INC.|457 LAKE HOWELL ROAD||MAITLAND FL 32752|USA|||  ||CHRIS H. HYLEN|407-571-4096|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/11/2001|0|0|0|0|0|0
Southeast Regional Office| 116251|801-63498|RAINEY & RANDALL INVESTMENT MANAGEMENT, INC.|RAINEY & RANDALL INVESTMENT MANAGEMENT, INC.|1301 66TH STREET NORTH||ST. PETERSBURG FL 33710|USA|||  ||WAYNE F. RANDALL|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
Southeast Regional Office| 116534|801-60672|THE NEWPORT GROUP OF NORTH CAROLINA, INC.|THE NEWPORT GROUP OF NORTH CAROLINA, INC.|300 INTERNATIONAL PARKWAY|SUITE 270|HEATHROW FL 32746|USA|||  ||KEN GOODALL|407-333-2905|Corporation|Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|11/09/2001|0|0|0|0|0|0
Southeast Regional Office| 116604|801-60851|MNS FINANCIAL MANAGEMENT|MNS FINANCIAL  MANAGEMENT, L.L.C.|8961 CONFERENCE DRIVE|SUITE 1|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, Other|APPROVED|01/15/2002|0|0|0|0|0|0
Southeast Regional Office| 116847|801-62634|CHARTER CAPITAL MANAGEMENT, LLC|CHARTER CAPITAL MANAGEMENT, LLC|1513 ISLAND GREEN DRIVE||DESTIN FL 32550|USA|||  ||STEVEN M. BRUCE|850-622-9773|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|01/02/2004|0|0|0|0|0|0
Southeast Regional Office| 117284|801-61889|COMMERCEBANK INVESTMENTS SERVICES, INC.|COMMERCEBANK INVESTMENT 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
Southeast Regional Office| 117642|801-60746|DELRAY FINANCIAL CORPORATION|DELRAY FINANCIAL CORPORATION|10193 N. MILITARY TRAIL|#265|PALM BEACH GARDENS FL 33410|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), Market timing services|APPROVED|12/20/2001|0|0|0|0|0|0
Southeast Regional Office| 118364|801-60871|P.F.S. ADVISORS L.C.|P.F.S. ADVISORS L.C.|560 VILLAGE BLVD.|SUITE 365|WEST PALM BEACH FL 33409|USA|||  ||CHRISTINA WORLEY|561-686-9604|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|01/22/2002|0|0|0|0|0|0
Southeast 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
Southeast Regional Office| 118746|801-61259|GEEK ADVISORS, INC.|GEEK ADVISORS, INC.|999 YAMATO ROAD|STE. 100|BOCA RATON FL 33431|USA|||  ||TONY SHARMA|561-862-0134|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Market timing services|APPROVED|06/21/2002|0|0|0|0|0|0
Southeast 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
Southeast Regional Office| 118889|801-60936|INTEGRATED ASSET MANAGEMENT, LLC|INTEGRATED ASSET MANAGEMENT, LLC|7336 DELAINEY COURT||SARASOTA FL 34240|USA|8374 MARKET STREET #406||LAKEWOOD RANCH FL 34202|USA|GEORGE LAMARRE|941-907-0700|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/28/2002|0|0|0|0|0|0
Southeast 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
Southeast 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
Southeast Regional Office| 119275|801-61071|RIVERPLACE CONSULTING SERVICES LLC|RCM ANALYTICS, LLC|1301 RIVERPLACE BLVD SUITE 2130||JACKSONVILLE FL 32207|USA|||  ||C. RONALD BELTON|(904) 399-2920|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|04/16/2002|0|0|0|0|0|0
Southeast 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
Southeast 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
Southeast Regional Office| 120084|801-61126|GUNN & COMPANY INVESTMENT MANAGEMENT, INC.|GUNN & COMPANY INVESTMENT MANAGEMENT, INC.|4887 BELFORT ROAD|SUITE 203|JACKSONVILLE FL 32256|USA|||  ||MARSHALL D. GUNN, JR.|904-296-2025|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/09/2002|0|0|0|0|0|0
Southeast Regional Office| 120301|801-62364|INVESTMENT ADVISORY OF LEE COUNTY, LLC|INVESTMENT ADVISORY OF LEE COUNTY, LLC|38 BARKLEY CIRCLE|SUITE 1|FT. MYERS FL 33907|USA|||  ||MICHAEL D. FAHL|239-481-5568|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Market timing services|APPROVED|09/17/2003|0|1|0|0|0|0
Southeast Regional Office| 120420|801-61381|INDEPENDENT PORTFOLIO CONSULTANTS, INC.|INDEPENDENT PORTFOLIO CONSULTANTS, INC.|777 YAMATO ROAD|SUITE 500|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
Southeast 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
Southeast Regional Office| 120806|801-61261|AGILEX ADVISERS LLC|AGILEX ADVISERS LLC|200 EAST BROWARD BLVD., SUITE 920||FORT LAUDERDALE FL 33301|USA|||  ||ROBERT GUNVILLE|954-617-1700|Limited Liability Company|Portfolio management for investment companies|APPROVED|07/18/2002|0|0|0|0|0|0
Southeast 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), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|06/21/2002|0|0|0|0|0|0
Southeast 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
Southeast Regional Office| 121019|801-62748|GEB FINANCIAL SERVICES GROUP, LLC|GEB FINANCIAL SERVICES GROUP, LLC|601 CLEVELAND STREET|SUITE #300|CLEARWATER FL 33755|USA|||  ||GLENN EDWARD BEST|727-447-6877|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/12/2004|0|0|0|0|0|0
Southeast Regional Office| 121048|801-61319|FLORIDA INVESTMENT ADVISORY SERVICES|FLORIDA INVESTMENT ADVISORY SERVICES, INC.|401 W. LINTON BLVD., SUITE 300||DELRAY BEACH FL 33444|USA|||  ||KENNETH 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|2|0|0|0
Southeast Regional Office| 121119|801-61294|SOFOS CAPITAL, L.L.C.|SOFOS CAPITAL, L.L.C.|1401 BRICKELL AVE STE 330||MIAMI FL 33131|USA|||  ||ENRIQUE CASTILLO|(305) 381-8114|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/01/2002|0|0|0|0|0|0
Southeast Regional Office| 121361|801-63938|LYDIAN PRIVATE BANK|LYDIAN PRIVATE BANK|3801 PGA BLVD||PALM BEACH GARDENS FL 33410|USA|||  ||CHRIS BOLDMAN|561-630-2169|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|03/01/2005|0|0|0|0|0|0
Southeast Regional Office| 121472|801-61396|MERRITT & COMPANY, INC.|MERRITT & COMPANY, INC.|1924 SOUTH OSPREY AVENUE|SUITE 200|SARASOTA FL 34239|USA|||  ||L. SCOTT MERRITT|941-316-6821|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|08/27/2002|0|0|0|0|0|0
Southeast 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
Southeast Regional Office| 121699|801-61365|CONTEMPORARY FINANCIAL SOLUTIONS, INC.|CONTEMPORARY FINANCIAL SOLUTIONS, INC.|250 SOUTH AUSTRALIAN AVENUE|SUITE 1800|WEST PALM BEACH FL 33401|USA|P.O. BOX 24633||WEST PALM BEACH FL 33416-5017|USA|TIMOTHY J. LYLE|561-835-4100|Corporation|Selection of other advisers|APPROVED|08/13/2002|0|11|0|0|0|0
Southeast Regional Office| 121774|801-61420|PHOENIX/LJH ALTERNATIVE INVESTMENT, LLC|PHOENIX/LJH ALTERNATIVE INVESTMENT, LLC|2640 GOLDEN GATE PARKWAY SUITE 205||NAPLES FL 34105|USA|||  ||HOLLY HOGAN|239-403-3030|Limited Liability Company|Portfolio management for investment companies|APPROVED|08/23/2002|0|0|1|0|0|0
Southeast Regional Office| 121912|801-61334|COHEN, ALBERT H.|ALBERT HOWARD COHEN|5347 HUNT CLUB WAY||SARASOTA FL 34238|USA|||  ||ALBERT H. COHEN|941-926-9225|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|07/23/2002|0|0|0|0|0|0
Southeast 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|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
Southeast Regional Office| 122199|801-61665|CREDICORP SECURITIES, INC.|CREDICORP SECURITIES, INC.|121 ALHAMBRA PLAZA|STE 1200|CORAL GABLES FL 33134|USA|||  ||MARIA ELENA PEREZ|305-446-4446|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|12/12/2002|0|0|0|0|0|0
Southeast 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
Southeast 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
Southeast Regional Office| 123303|801-61582|FPC SERVICES, INC.|FPC SERVICES, INCORPORATED|5709 JOHNS RD. SUITE 1200||TAMPA FL 33634|USA|||  ||KRISTY HENDRICKS|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
Southeast Regional Office| 123508|801-64203|INGRAM ADVISORY SERVICES, LLC|INGRAM ADVISORY SERVICES, LLC|799 OVERLOOK DRIVE||WINTER HAVEN FL 33884|USA|||  ||DONNIE E. INGRAM|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
Southeast 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
Southeast 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)|APPROVED|11/06/2002|0|0|0|0|0|0
Southeast 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
Southeast 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|727/343-7166|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
Southeast Regional Office| 124547|801-63119|SIESTA KEY CAPITAL, LLC|SIESTA KEY CAPITAL, LLC|1800 2ND ST., SUITE 747||SARASOTA FL 34236|USA|||  ||JOHN SAUICKIE|941-894-6700|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/18/2004|0|0|0|0|0|0
Southeast 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
Southeast Regional Office| 124640|801-61854|SENTINEL FIDUCIARY SERVICES, INC.|SENTINEL FIDUCIARY SERVICES, INC.|605 DELANEY AVENUE||ORLANDO FL 32801|USA|||  ||STEPHEN J. LANSING|407-246-7221|Corporation|Pension consulting services, Selection of other advisers|APPROVED|03/04/2003|0|0|0|0|0|0
Southeast Regional Office| 124689|801-63621|SARASOTA ASSET MANAGEMENT, INC.|SARASOTA ASSET MANAGEMENT, INC.|7701 HOLIDAY DRIVE||SARASOTA FL 34231|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
Southeast 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
Southeast Regional Office| 124989|801-61768|GLOBAL CAPITAL ADVISORS, LLC|GLOBAL CAPITAL ADVISORS, LLC|1270 ORANGE AVENUE|SUITE E|WINTER PARK FL 32789|USA|||  ||THEODORE SPENCER RICH|407-210-6548|Limited Liability Company|Financial planning services, 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
Southeast Regional Office| 125082|801-62054|MEMBERS TRUST COMPANY|MEMBERS TRUST COMPANY|14025 RIVEREDGE DRIVE, SUITE 280||TAMPA FL 33637|USA|||  ||NEIL P. ARCHIBALD|813-631-9191(EXT. 707)|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|06/18/2003|0|1|0|0|0|0
Southeast Regional Office| 125092|801-63278|BARRON ASSET MANAGEMENT, INC.|BARRON ASSET MANAGEMENT, INC.|1601 WEST PLATT STREET||TAMPA FL 33606|USA|||  ||LINDA KOCHER|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
Southeast Regional Office| 125186|801-61941|COMPASS FINANCIAL GROUP, INC.|COMPASS FINANCIAL GROUP, INC.|3050 N. FEDERAL HIGHWAY|SUITE 208|LIGHTHOUSE POINT FL 33064|USA|||  ||JAY L. SHEIN|954-946-8501|Corporation|Financial planning 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
Southeast Regional Office| 125247|801-61826|ACCESS FUND MANAGEMENT, LLC|ACCESS FUND MANAGEMENT, LLC|28050 US HWY 19 N.|SUITE 301|CLEARWATER FL 33761|USA|||  ||MICHAEL V. WILLIAMS|727-324-0055|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/14/2003|0|0|0|0|0|0
Southeast 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
Southeast Regional Office| 125505|801-62301|LYNN FINKELSTEIN & CO.,INC.|LYNN FINKELSTEIN & CO.,INC.|269 SE 5TH AVENUE||DELRAY BEACH FL 33483|USA|||  ||LYNN FINKELSTEIN|561-243-1230|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|08/28/2003|0|0|0|0|0|0
Southeast Regional Office| 125681|801-62008|PROVIDENCE CAPITAL, LC|PROVIDENCE CAPITAL, LC|701 BRICKELL AVENUE|SUITE 1740|MIAMI FL 33131|USA|||  ||JUAN TRUJILLO|305-379-4999|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/24/2003|0|0|0|0|0|0
Southeast 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|772 231-4840|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|03/20/2003|0|0|0|0|0|0
Southeast 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
Southeast Regional Office| 125811|801-64879|PEARSON CAPITAL, INC.|PEARSON CAPITAL, INC.|6431 RUBIA CIRCLE||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
Southeast 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
Southeast Regional Office| 126195|801-64646|CLAYTON, DUNNING ASSET MANAGEMENT INC.|CLAYTON, DUNNING ASSET MANAGEMENT INC.|2901 S. BAYSHORE DRIVE|#1E|MIAMI FL 33133|USA|||  ||ROBERT C. LAU|305-445-8776|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|10/21/2005|0|0|0|0|0|0
Southeast Regional Office| 126242|801-63461|ASSET PLANNING CORPORATION|ASSET PLANNING CORPORATION|1615 FORUM PL. SUITE IA||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|APPROVED|09/02/2004|0|0|0|0|0|0
Southeast 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), Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|09/05/2003|0|0|0|0|0|0
Southeast Regional Office| 126641|801-62031|BOTT-ANDERSON PARTNERS, INC|BOTT-ANDERSON PARTNERS, INC.|135 PROFESSIONAL DRIVE|SUITE 106|PONTE VEDRA FL 32082|USA|||  ||GERALD F. BOTT|(904) 280-8995|Corporation|Pension consulting services, Selection of other advisers|APPROVED|05/09/2003|0|0|0|0|0|0
Southeast 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
Southeast Regional Office| 126992|801-64116|YALE CAPITAL CORP.|YALE CAPITAL CORP.|COAST BANK 111 SECOND AVE NE|SUITE 503|ST. PETERSBURG FL 33701|USA|||  ||RUTH M. HEWLETT|727-823-0006|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies|APPROVED|04/08/2005|0|0|0|0|0|0
Southeast 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|0|0|0|0
Southeast Regional Office| 127015|801-62063|ATLANTIC ADVISORS LLC|ATLANTIC ADVISORS LLC|1560 N. ORANGE AVENUE|SUITE 660|WINTER PARK FL 32789|USA|||  ||BENNET SEDACCA|407-998-8789|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
Southeast 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
Southeast Regional Office| 127258|801-62162|BCOM INVESTMENT ADVISER, LLLP|BCOM INVESTMENT ADVISER, LLLP|1200 BRICKELL AVENUE SUITE 1720||MIAMI FL 33131|USA|||  ||CARY GREENBERG|(305) 375-0900|Other (specify)|Other|APPROVED|07/21/2004|0|0|0|0|0|0
Southeast Regional Office| 127397|801-62535|OTTER CREEK MANAGEMENT, INC.|OTTER CREEK MANAGEMENT, INC.|400 ROYAL PALM WAY, SUITE 212||PALM BEACH FL 33480|USA|||  ||JOSEPH W. O'NEILL|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
Southeast Regional Office| 127497|801-63983|SPECTRUM ASSETS, INC.|SPECTRUM ASSETS, INC.|4401 N. FEDERAL HWY.,|SUITE 203|BOCA RATON FL 33431|USA|||  ||CLIVE CHOLERTON|561-347-6662|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|03/18/2005|0|1|0|0|0|0
Southeast Regional Office| 127528|801-63034|SKY BELL ASSET MANAGEMENT, LLC|SKY BELL ASSET MANAGEMENT, LLC|11517 MERIDIAN POINT DRIVE||TAMPA FL 33626|USA|||  ||RYAN P. SADORF|(813) 792-5977|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|04/21/2004|0|0|0|0|0|0
Southeast Regional Office| 127533|801-62823|WHEELER WEALTH MANAGEMENT, INC.|WHEELER WEALTH MANAGEMENT, INC.|2575 ULMERTON ROAD|SUITE 330|CLEARWATER FL 33762-3365|USA|||  ||JOHN P. WHEELER|727-573-5777|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/19/2004|0|0|0|0|0|0
Southeast Regional Office| 128000|801-62373|O'SULLIVAN CREEL WEALTH ADVISORS, LLP|O'SULLIVAN CREEL WEALTH ADVISORS, LLP|316 SOUTH BAYLEN STREET|SUITE 200|PENSACOLA FL 32501|USA|||  ||JENNIFER R. BROCHU|850-435-7400|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
Southeast 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), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|09/17/2003|0|0|0|0|0|0
Southeast Regional Office| 128059|801-62274|GFG CAPITAL|GFG CAPITAL, LLC|220 ALHAMBRA CIRCLE|SUITE 810|CORAL GABLES FL 33134|USA|||  ||EDUARDO GRUENER|(305)476-9797|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
Southeast Regional Office| 128303|801-62396|CENTRAL FLORIDA ASSET MANAGEMENT GROUP.|CENTRAL FLORIDA ASSET MANAGEMENT GROUP.|6203 WYNFIELD COURT||ORLANDO FL 32819|USA|||  ||JOHN SCHAEDEL|407-234-5151|Limited 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|10/03/2003|0|0|0|0|0|0
Southeast 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
Southeast Regional Office| 128686|801-62439|GUARDIAN CAPITAL LLC|GUARDIAN CAPITAL LLC|255 ALHAMBRA CIRCLE|SUITE 333|CORAL GABLES FL 33134|USA|||  ||RAINEY SELLARS|305 667 8557|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|10/20/2003|0|0|0|0|0|0
Southeast Regional Office| 128742|801-64120|MARJORIE A MEYER|MEYER MARJORIE ANN|100 CENTRAL AVENUE|SUITE 812|SARASOTA FL 34236|USA|||  ||MARJORIE MEYER|941-330-9490|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/08/2005|0|0|0|0|0|0
Southeast Regional Office| 128856|801-62452|GROVE CREEK ASSET MANAGEMENT LLC|GROVE CREEK ASSET MANAGEMENT LLC|822 A1A NORTH||PONTE VEDRA BEACH FL 32085|USA|||  ||DAVE FOLEY|904-285-2652|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/22/2003|0|0|0|0|0|0
Southeast Regional Office| 128929|801-62547|GWN SECURITIES INC.|GWN SECURITIES INC.|11440 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
Southeast Regional Office| 129429|801-62945|MARY E. BALDWIN CFP|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|APPROVED|04/08/2004|0|0|0|0|0|0
Southeast Regional Office| 129436|801-62624|DISCIPLINED EQUITY MANAGEMENT, INC.|DISCIPLINED EQUITY MANAGEMENT, INC.|200 FIRST STREET|SUITE 204|NEPTUNE BEACH FL 32266|USA|||  ||VALORIE FREDERICK|904-339-0304|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
Southeast Regional Office| 129446|801-62556|STEVEN L. POMERANZ FINANCIAL MANAGEMENT, INC.|STEVEN L. POMERANZ FINANCIAL MANAGEMENT, INC.|ONE WEST CAMINO REAL BLVD|SUITE 205|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
Southeast Regional Office| 129824|801-62845|DERN CAPITAL MANAGEMENT CORPORATION|DERN CAPITAL MANAGEMENT CORPORATION|7777 GLADES ROAD, SUITE 207A||BOCA RATON FL 33434|USA|||  ||MARK 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
Southeast 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
Southeast Regional Office| 129972|801-62688|A. SCOTT WHITE, FINANCIAL PLANNER|A. SCOTT WHITE, FINANCIAL PLANNER|1510 ROYAL PALM SQUARE BLVD.,|SUITE 103|FORT MYERS FL 33919|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
Southeast 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
Southeast Regional Office| 130406|801-63135|BURNS FINANCIAL MANAGEMENT, INC.|BURNS FINANCIAL MANAGEMENT, INC.|2000 PGA BLVD., SUITE 3230||PALM BEACH GARDENS FL 33408|USA|P.O. BOX 32339||PALM BEACH GARDENS FL 33420-2339|USA|WALTER F. BURNS III|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
Southeast Regional Office| 130539|801-62842|BANYAN REALTY ADVISORS, LLC|BANYAN REALTY ADVISORS, LLC|501 N. MAGNOLIA AVENUE,|SUITE 100|ORLANDO FL 32801|USA|1665 PALM BEACH LAKES BLVD., STE. 400||WEST PALM BEACH FL 33401|USA|KATHLEEN ALEX|561-868-7088|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
Southeast 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|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
Southeast Regional Office| 130833|801-63124|CURTIS WEALTH MANAGEMENT GROUP, LLC|CURTIS WEALTH MANAGEMENT GROUP, LLC|605 SARASOTA QUAY||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
Southeast 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
Southeast 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
Southeast Regional Office| 131194|801-63234|INCA INVESTMENTS, LLC|INCA INVESTMENTS, LLC|9350 SOUTH DIXIE HIGHWAY|SUITE 1470|MIAMI FL 33156|USA|||  ||FERNANDO DONAYRE|305-670-6262|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
Southeast Regional Office| 131260|801-63207|DANIEL DEVINE & COMPANY|DANIEL DEVINE & COMPANY|433 PLAZA REAL, SUITE 275||BOCA RATON FL 33432|USA|||  ||DANIEL DEVINE|561-962-4247|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
Southeast 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
Southeast Regional Office| 131528|801-63409|CARL DOMINO INC.|CARL DOMINO INC.|249 ROYAL PALM WAY, SUITE 403||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
Southeast Regional Office| 131934|801-63245|INTL CONSILIUM, LLC|INTL CONSILIUM, LLC|350 EAST LAS OLAS BLVD|SUITE 1240|FORT LAUDERDALE FL 33301|USA|||  ||NANCEY MCMURTRY|407-741-5340|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/18/2004|0|0|0|0|0|0
Southeast Regional Office| 132070|801-63282|GLOBAL FINANCIAL PRIVATE CAPITAL, LLC|GLOBAL FINANCIAL PRIVATE CAPITAL, LLC|2080 RINGLING BOULEVARD|SECOND FLOOR|SARASOTA FL 34237|USA|||  ||EDWARD C. BERTELSEN|941-918-0507|Limited Liability Company|Portfolio management for individuals and/or small businesses, Other|APPROVED|07/12/2004|0|0|0|0|0|0
Southeast Regional Office| 132080|801-64752|MONEY PROFESSIONALS, LLC|MONEY PROFESSIONALS, LLC|625 EAST ROMANA STREET||PENSACOLA FL 32502|USA|PO BOX 12933||PENSACOLA FL 32591|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
Southeast 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
Southeast 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
Southeast Regional Office| 132736|801-65724|MLF INVESTMENTS, LLC|MLF INVESTMENTS, LLC|455 N. INDIAN ROCKS ROAD|SUITE B|BELLEAIR BLUFFS FL 33770|USA|||  ||IRENE DIRMANN|727-450-4947|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
Southeast 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
Southeast Regional Office| 133000|801-63599|ANGELOTTI ROSENBERG ASSET MANAGEMENT|ANGELOTTI/ROSENBERG FINANCIAL GROUP, LLC|2 N. TAMIAMI TRAIL|SUITE 312|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
Southeast Regional Office| 133297|801-64732|JAMES RIVER CAPITAL CORP.|JAMES RIVER CAPITAL CORP.|5007 CHANDLER'S WHARF, STE. 201/202||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|0|0|0|0|0
Southeast 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
Southeast Regional Office| 133500|801-63721|MCCUTCHEON, LLC|MCCUTCHEON, LLC|956 ELDER LANE||JACKSONVILLE FL 32207|USA|||  ||JEFF MCCUTCHEON|904-306-0907|Limited Liability Company|Financial planning services, Portfolio management for 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|01/03/2005|0|0|0|0|0|0
Southeast 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
Southeast Regional Office| 133541|801-64524|NCT FINANCIAL SERVICES, LLC|NCT FINANCIAL SERVICES, LLC|300 PRIMERA BLVD|SUITE 164|LAKE MARY FL 32746|USA|||  ||SALLY HANLEY-WHITWORTH|407-585-1160|Limited Liability Company|Pension consulting services, Selection of other advisers|APPROVED|07/20/2005|0|0|0|0|0|0
Southeast Regional Office| 133676|801-63777|JONES ADVISORY GROUP LLC|JONES ADVISORY GROUP LLC|7701 HOLIDAY DRIVE||SARASOTA FL 34231|USA|||  ||GORDON E. JONES|941-484-2141|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|12/16/2004|0|0|0|0|0|0
Southeast 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
Southeast 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
Southeast 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
Southeast Regional Office| 134169|801-64012|MURRAY RUFFELL, CFP, CHFC|WILLIAM MURRAY RUFFELL|1193 SALT MARSH CIRCLE||PONTE VEDRA BEACH FL 32082|USA|||  ||MURRAY RUFFELL|904-273-7069|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED-120|03/03/2005|0|0|0|0|0|0
Southeast Regional Office| 134227|801-63933|PMC CAPITAL MANAGEMENT, LLC|PMC CAPITAL MANAGEMENT, LLC|529 VERSAILLES DRIVE|SUITE 210|MAITLAND FL 32751|USA|||  ||MATTHEW M. MILLER|(407) 629-1255|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/04/2005|0|0|0|0|0|0
Southeast 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
Southeast 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
Southeast 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|||  ||MARCELLO CORREA|305-523-6516|Corporation|Portfolio 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
Southeast Regional Office| 134503|801-64034|DOYLE WEALTH MANAGEMENT, INC.|DOYLE WEALTH MANAGEMENT, INC.|425 22ND AVENUE 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
Southeast 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
Southeast Regional Office| 134755|801-64217|HERITAGE INSTITUTIONAL ADVISORS, LLC|HERITAGE INSTITUTIONAL ADVISORS, LLC|2480 NE 23RD STREET||POMPANO BEACH FL 33062|USA|||  ||S. HARDY TAYLOR|954-785-5400|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|05/04/2005|0|0|0|0|0|0
Southeast 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
Southeast 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
Southeast Regional Office| 135974|801-64830|ONBOARD CONSULTING|ONBOARD CONSULTING|10630 HALLS RIVER ROAD||HOMOSASSA FL 34448|USA|10630 HALLS RIVER ROAD||HOMOSASSA FL 34448||KELLY PEEBLES|813-892-2035|Corporation|Publication of periodicals or newsletters, Security ratings or pricing services|APPROVED|11/15/2005|0|0|0|0|0|0
Southeast 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
Southeast 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
Southeast Regional Office| 136534|801-64713|FRANCO ASSET MANAGEMENT, LP|FRANCO ASSET MANAGEMENT, LP|2875 NE 191 STREET|SUITE 904|AVENTURA FL 33180|USA|||  ||RALPH PATINO|305 935-5556|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/03/2005|0|0|0|0|0|0
Southeast 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
Southeast Regional Office| 136634|801-65879|RGM CAPITAL, LLC|RGM CAPITAL, LLC|4501 NINTH STREET NORTH|SUITE 222|NAPLES FL 34103|USA|||  ||EDWARD T. CALKINS|239-649-0878|Limited Liability Company|Other|APPROVED|02/01/2006|0|0|0|0|0|0
Southeast Regional Office| 136747|801-64614|BPI GLOBAL ASSET MANAGEMENT LLC|BPI GLOBAL ASSET MANAGEMENT LLC|1900 SUMMIT TOWER BOULEVARD|SUITE 450|ORLANDO FL 32810-5950|USA|||  ||JOHN MYKLUSCH|212.703.3100|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/24/2005|0|0|0|0|0|0
Southeast 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
Southeast 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
Southeast 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
Southeast Regional Office| 137218|801-64753|THE COLONY GROUP OF NAPLES, LLC|JETA GROVE, LLC|8955 FONTANA DEL SOL WAY||NAPLES FL 34109|USA|||  ||VINCENT J. GRATCH|617 723-8200|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|10/07/2005|0|0|0|0|0|0
Southeast Regional Office| 137321|801-65597|LAMPOST FINANCIAL, INC.|LAMPOST FINANCIAL, INC.|7777 W. GLADES ROAD SUITE 213||BOCA RATON FL 33434|USA|||  ||MICHAEL S MEADE|561-883-0454|Corporation|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
Southeast 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|561-789-1611|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|09/29/2005|0|0|0|0|0|0
Southeast Regional Office| 137420|801-64930|ABSOLUTE RETURN PORTFOLIO MANAGEMENT, LLC|ABSOLUTE RETURN PORTFOLIO MANAGEMENT, LLC|311 PARK PLACE BLVD.|SUITE 330|CLEARWATER FL 33759|USA|||  ||MATTHEW N. XIARHOS|727-726-5656|Limited Liability Company|Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters, Other|APPROVED-120|01/10/2006|0|0|0|0|0|0
Southeast Regional Office| 137448|801-66048|PREDATOR CAPITAL MANAGEMENT LLC|PREDATOR CAPITAL MANAGEMENT LLC|2401 PGA BLVD.|SUITE 146|PALM BEACH GARDENS FL 33410|USA|||  ||JOEL WACHS|561-514-6926|Limited Liability Company|Other|APPROVED|01/27/2006|0|0|0|0|0|0
Southeast Regional Office| 137539|801-64790|CAPITAL MAX, INC.|CAPITAL MAX, INC.|115 MARLBERRY CIRCLE||JUPITER FL 33458|USA|||  ||FRANCK J. PRISSERT|561-493 7077|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|10/27/2005|0|0|0|0|0|0
Southeast Regional Office| 137598|801-65014|COLLINS CAPITAL ADVISORS, INC.|COLLINS CAPITAL ADVISORS, INC.|806 DOUGLAS ROAD|SUITE 570|CORAL GABLES FL 33134|USA|||  ||KENT A. WINDHORST|305-666-3319|Corporation|Other|APPROVED|12/12/2005|0|0|0|0|0|0
Southeast Regional Office| 137763|801-65835|INTEGRA INVESTMENT MANAGEMENT LP|INTEGRA INVESTMENT MANAGEMENT LP|301 YAMATO ROAD|SUITE 3115|BOCA RATON FL 33431|USA|||  ||STEVE REDLING|561-995-9997|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/24/2006|0|0|0|0|0|0
Southeast 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-120|11/28/2005|0|0|0|0|0|0
Southeast Regional Office| 138009|801-66275|UNIWEALTH ADVISORS, INC.|UNIWEALTH ADVISORS, INC.|9245 SW 157TH STREET|#203|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
Southeast 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|||  ||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-120|02/01/2006|0|0|0|0|0|0
Southeast 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.|352-377-2078|Limited Liability Company|Financial planning services, 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|01/20/2006|0|0|0|0|0|0
Southeast Regional Office| 138222|801-65057|CRYSTAL ADVISORS LLC|CRYSTAL ADVISORS LLC|1111 KANE CONCOURSE|SUITE 404|BAY HARBOR ISLANDS FL 33154|USA|||  ||MARK FITZPATRICK|305-868-1500 EXT 102|Limited Liability Company|Other|APPROVED|02/01/2006|0|0|0|0|0|0
Southeast Regional Office| 138280|801-65058|THE MUTUAL FUND STORE|TMFS-TAMPA, INC|10150 HIGHLAND MANOR DRIVE|SUITE 200|TAMPA FL 33610|USA|||  ||DON WILLIAMS|813-661-1717|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Other|APPROVED-120|01/03/2006|0|0|0|0|0|0
Southeast Regional Office| 138409|801-65660|UNITED CAPITAL ASSET MANAGEMENT, LLC|UNITED CAPITAL ASSET MANAGEMENT, LLC|240 CRANDON BOULEVARD|SUITE 101|KEY BISCAYNE FL 33149|USA|||  ||PEDRO CEJAS|(305) 365-4921|Limited Liability Company|Other|APPROVED|01/25/2006|0|0|0|0|0|0
Southeast 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 individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/25/2006|0|0|0|0|0|0
Southeast Regional Office| 138699|801-65193|PALM BEACH CAPITAL MANAGEMENT, LLC|PALM BEACH CAPITAL MANAGEMENT, LLC|3601 P.G.A. BOULEVARD|SUITE 301|PALM BEACH GARDENS FL 33410|USA|||  ||TANYA POWE|561-624-0594|Limited Liability Company|Other|APPROVED|01/10/2006|0|0|0|0|0|0
Southeast 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
Southeast 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|863-666-2600|Corporation|Financial planning services, 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|01/23/2006|0|0|0|0|0|0
Southeast Regional Office| 139027|801-65816|KARASEL ASSET MANAGEMENT, LLC|KARASEL ASSET MANAGEMENT, LLC|2385 EXECUTIVE CENTER DRIVE, SUITE 190||BOCA RATON FL 33431|USA|||  ||GARY M. BUSEL|(561) 989-9042|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/24/2006|0|0|0|0|0|0
Southeast 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
Southeast Regional Office| 139045|801-66202|AEGIS INVESTMENTS, LLC|AEGIS INVESTMENTS, LLC|16260 VIA VENETIA EAST||DELRAY BEACH FL 33484|USA|||  ||STEVEN ROBERTS|561-499-8489|Limited Liability Company|Other|APPROVED-120|02/01/2006|0|0|0|0|0|0
Southeast Regional Office| 139060|801-65855|MCLEAN CAPITAL MANAGEMENT, LLC|MCLEAN CAPITAL MANAGEMENT|4442 WHISPERWOOD||SARASOTA FL 34235|USA|||  ||WILLIAM RICHARD MCLEAN|(941) 378-9540|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|01/27/2006|0|0|0|0|0|0
Southeast Regional Office| 139185|801-66201|MASTERS RESEARCH PARTNERS LLC|MASTERS RESEARCH PARTNERS LLC|2875 N.E. 191ST STREET|SUITE 900|AVENTURA FL 33180|USA|||  ||DAVID R. FRIEDLAND|(305) 935-7544 (EXT. 101)|Limited Liability Company|Selection of other advisers|APPROVED|02/01/2006|0|0|0|0|0|0
Southeast Regional Office| 139206|801-66173|SPUNGINVESTMENTS, LLC|SPUNGINVESTMENTS, LLC|3148 SAN MICHELE DRIVE||PALM BEACH GARDENS FL 33418|USA|||  ||MARC SPUNGIN|5618413005|Limited Liability Company|Other|APPROVED|02/14/2006|0|0|0|0|0|0
Southeast Regional Office| 139226|801-66070|MICROSIGMA CAPITAL MANAGEMENT, LLC|MICROSIGMA CAPITAL MANAGEMENT, LLC|905 BRICKELL BAY DRIVE|SUITE 1425|MIAMI FL 33131|USA|||  ||FLAVIO CARRILLO|786-318-6418|Limited Liability Company|Financial 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|01/27/2006|0|0|0|0|0|0
Southeast Regional Office| 139312|801-66170|REKON ADVISORS LLC|REKON ADVISORS LLC|407 SE 1ST STREET||DELRAY BEACH FL 33483|USA|||  ||ROBERT H. FASULO|(561) 330-6999|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|02/16/2006|0|0|0|0|0|0
Southeast Regional Office| 139388|801-66241|GRS ASSET CONSULTING GROUP, INC.|GRS ASSET CONSULTING GROUP, INC.|301 EAST LAS OLAS BLVD|SUITE 200|FORT LAUDERDALE FL 33301|USA|||  ||JOHN MCCANN|954 527 1616|Corporation|Pension consulting services|APPROVED|02/02/2006|0|0|0|0|0|0
Southeast Regional Office| 139537|801-66263|KAPAX CAPITAL INVESTMENT ADVISERS, LLC|KAPAX CAPITAL INVESTMENT ADVISERS, LLC|2801 PONCE DE LEON BLVD|PENTHOUSE 1280|CORAL GABLES FL 33134|USA|||  ||EMIL R. INFANTE|305-704-3397|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED-120|02/28/2006|0|0|0|0|0|0
Southeast Regional Office| 139671|801-66337|DAY HAGAN FINANCIAL|DONALD L. HAGAN, LLC|677 N. WASHINGTON BLVD.|SUITE 4|SARASOTA FL 34236|USA|||  ||DONALD L.HAGAN|941-952-5859|Limited Liability Company|Financial planning services, Portfolio management for 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
